SEPTEMBER 2022 SEC For the Investment Management Industry ...

SEC Charges 16 Wall Street Firms with Widespread Recordkeeping ...

Washington D.C., Sept. 27, 2022 —. The Securities and Exchange ... DWS Investment Management Americas, Inc., the investment adviser ...

SEC Charges Two Advisory Firms for Custody Rule Violations, One ...

Washington D.C., Sept. 9, 2022 —. The Securities and Exchange ... Capital Management, Inc., and Titan Fund Management, LLC. According ...

SEC Charges Four Investment Advisers for Pay-To-Play Violations ...

September 15, 2022 - The Securities and Exchange Commission ("Commission" or "SEC") today separately charged Asset Management Group of Bank ...

Investment Management & Funds Regulatory Update - Davis Polk

On September 9, 2024, the SEC announced the most recent batch of settlements entered into as part of this “sweep,” i.e., settlements with nine ...

SEC Issues Guidance on Fund Liquidity Risk Management ...

The SEC's most recent Regulatory Agenda, published in July 2024, indicated that the 2022 Release's proposals regarding liquidity risk management ...

Investment Management Update | Insights

On August 10, 2022, the SEC and CFTC jointly announced proposed amendments to Form PF (Form PF Amendments), a confidential reporting form for ...

Ropes & Gray's Investment Management Update August

Risk Alert on Prospective Examinations Focused on the New Investment Adviser Marketing Rule ... On September 19, 2022, the SEC Division of ...

Money Market Fund Statistics, September 2022 - SEC.gov

... Investment Management's Analytics Office of the ... U.S. Securities and Exchange Commission, Money Market Funds Statistics, Filings through October 18, 2022.

SEC Collects $390 Million in Latest Crackdown on 'Off-Channel ...

In September 2022, the SEC announced settlements totaling $1.1 billion with 16 Wall Street firms (15 broker-dealers and one affiliated ...

Investment Management Update | Insights

SEC Adopts Amendments to Fund Names Rule. On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the ...

Investment Management Regulatory Update: Q3 2024

SEC Adopts Form Amendments and Liquidity Rule Guidance · Financial Regulatory Agencies Propose “Data Standards” for Financial Disclosures · SEC ...

SEC Charges Perceptive Advisors for Failing to Disclose SPAC ...

Washington D.C., Sept. 6, 2022 —. The Securities and ... Dabney O'Riordan, Chief of the Enforcement Division's Asset Management Unit.

SEC Sweep into Marketing Rule Violations Results in Charges ...

Division of Examinations Risk Alert: Examinations Focused on the New Investment Adviser Marketing Rule (Sept. 19, 2022); National Compliance ...

Investment Management Update August - September 2023 - Lexology

... fund/investment management industry. SEPTEMBER ... On August 10, 2023, the Securities Industry and Financial ... In one September order, the SEC additionally ...

2025 investment management outlook | Deloitte Insights

Collective investment trusts are also capturing market share from mutual funds and accounted for about US$4.6 trillion AUM overall in 2022 with ...

Investment Management Update - August 2022 | Skadden, Arps ...

The investment management industry faces a range of proposed new SEC regulations, including ESG and fund name rules, and the agency is seeking...

SEPTEMBER 2022 SEC For the Investment Management Industry ...

A lot is happening in the world of digital assets regulation, and we know it is difficult to keep track of it all. That is why we built this digital assets ...

SEC marketing rule and GIPS: what advisers need to know | EY - US

In September 2022, the SEC issued a risk alert³ to inform IAs about its areas of focus for upcoming examinations of the new rule. The following areas were ...

Monthly Spreadsheet of Collective Investment Schemes

SEC Guidelines on Sustainable Financial Principles for the Capital Market ... Monthly Mutual Fund Spreadsheet – September 2022 · Monthly Mutual Fund ...

Apollo Global Management: Home

Apollo is a leading provider of alternative asset management and retirement solutions. We help build and finance stronger businesses through innovative capital ...