Live Breaking News & Updates on பிரிவு ஆஃப் முதலீடு மேலாண்மை|Page 12

Stay updated with breaking news from பிரிவு ஆஃப் முதலீடு மேலாண்மை. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

President's Working Group on Financial Markets Issues Report on Money Market Fund Reform Options | Dechert LLP

The President’s Working Group on Financial Markets (PWG)
1 on December 22, 2020 released a report on potential reform options for money market funds (Report).
2 The Report states that the significant outflows experienced by prime and tax-exempt money market funds (MMFs), as well as the stress experienced in the short-term funding markets beginning in March 2020, underscores the need for further improvements to the regulation of MMFs beyond the reforms enacted following the 2008 financial market crisis. The Report acknowledges that there have been several iterations of reforms since the 2008 crisis, designed to improve MMF resiliency to credit and liquidity stresses. However, the Report recommends that more should be done to address systemic risks and the structural vulnerabilities of MMFs to large-scale redemptions. To that end, the Report presents several possible reform options for prime and tax-exempt MMFs to facilitate discussion among regulators, including the Sec ....

Financial Stability Oversight Council , Deposit Insurance Corporation , Investment Company , Federal Reserve , Group On Financial Markets , Requirement For Liquidity Exchange Bank Membership , Exchange Commission , Division Of Investment Management , Office Of The Comptroller , Working Group , Financial Markets , Investment Management , Tie Between , Investment Company Act , Imposing Redemption , Liquidity Exchange Bank , Federal Deposit Insurance Corporation , நிதி ஸ்திரத்தன்மை ஓவர்‌ஸைட் சபை , வைப்பு காப்பீடு நிறுவனம் , முதலீடு நிறுவனம் , கூட்டாட்சியின் இருப்பு , குழு ஆன் நிதி சந்தைகள் , தேவை க்கு நீர்மை நிறை பரிமாற்றம் வங்கி உறுப்பினர் , பரிமாற்றம் தரகு , பிரிவு ஆஃப் முதலீடு மேலாண்மை , அலுவலகம் ஆஃப் தி கம்ப்ரோலர் ,

Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP

REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

New York , United States , William Duhnke , Paul Sarbanes , William Hinman , Heathp Tarbert , Hester Peirce , Cindy Axned Iowa , Brendan Boyled Pa , Eladl Roisman , Kara Stein , Gary Gensler , Allison Herren Lee , Sagar Teotia , Jay Clayton , Dalia Blass , Modernizes Framework For Fund Valuation Practices , Investment Company , Us District Court , Crypto Fund , Us Defense Department , Chicago Board Options Exchange , Business Development Companies , Congress Amends Exchange , Division Of Enforcement Complex Financial Instruments Unit , Division Of Investment Management ,

Investment Management, Trading & Markets Updates – January 2021 | Alston & Bird

SEC Final Rule on Modernized Marketing for Investment Advisers
On December 22, 2020, the Securities and Exchange Commission (SEC) passed a final rule to modernize marketing under the Investment Advisers Act of 1940, as amended. The amendments create a single rule that replaces the current advertising and cash solicitation rules, Rule 206(4)-1 and Rule 206(4)-3, respectively. The staff of the Division of Investment Management also expects to withdraw no-action letters and other guidance that previously applied to the advertising and cash solicitation rules. Additionally, the SEC has made related amendments to Form ADV, the investment adviser registration form, and Rule 204-2, the books and records rule, to reflect the new rule. The revised Rule 206(4)-1 generally: (1) codifies the previous guidance that prohibits untrue statements of material facts, omitting material facts, misleading statements, and any presentations that could be misleading; (2) will now allow for the use of ....

Commodity Futures Trading Commission , Exchange Commission , Us Department Of Labor , National Futures Association , Modernizes Framework For Fund Valuation Practices , Investment Company , Division Of Investment Management , Modernized Marketing , Investment Advisers Act , Investment Management , Federal Register , Fund Valuation , Investment Company Act , Best Interest , Swaps Proficiency Requirement , Improves Exempt Offering , Securities Act , For Regulation , Derivatives Use , Registered Funds , பண்டம் எதிர்காலங்கள் வர்த்தக தரகு , பரிமாற்றம் தரகு , எங்களுக்கு துறை ஆஃப் தொழிலாளர் , தேசிய எதிர்காலங்கள் சங்கம் , முதலீடு நிறுவனம் , பிரிவு ஆஃப் முதலீடு மேலாண்மை ,

SEC.gov | Paul G. Cellupica, Division of Investment Management Deputy Director and Chief Counsel to Conclude Tenure at SEC

FOR IMMEDIATE RELEASE
Washington D.C., Jan. 7, 2021
The Securities and Exchange Commission today announced that Paul G. Cellupica, Deputy Director and Chief Counsel of the Division of Investment Management, will depart the agency later this month.
Mr. Cellupica rejoined the division as Deputy Director in November 2017, and became Chief Counsel in June 2018. The division s Office of the Chief Counsel, among other responsibilities, is responsible for responding to requests for legal and policy guidance, evaluating applications for exemptive relief, overseeing the division s liaison with the Divisions of Enforcement and Examinations, technical assistance on legislation affecting investment advisers and funds, and engagement with international regulators on matters related to asset management. ....

United States , David Nelson , Paulg Cellupica , Dalia Blass , Harvard Law School , Enforcement Liaison Office , Us Court , Division Of Enforcement , Investment Company , Counsel For The Americas At Metlife Inc , Client Commission Arrangements Ccas , Annuity Association Of America , Division Of Investment Management , Board Outreach Initiative , Exchange Commission , Im Liaison Office , Share Class Selection Disclosure Initiative , Harvard College , Counsel Of The Division Investment Management , Deputy Director , Chief Counsel , Investment Management , Director Blass , Outreach Initiative , Staff Guidance , Exemptive Relief ,

Paul G. Cellupica, Division Of Investment Management Deputy Director And Chief Counsel To Conclude Tenure At SEC

Paul G. Cellupica, Division Of Investment Management Deputy Director And Chief Counsel To Conclude Tenure At SEC
Date
07/01/2021
The Securities and Exchange Commission today announced that Paul G. Cellupica, Deputy Director and Chief Counsel of the Division of Investment Management, will depart the agency later this month.
Mr. Cellupica rejoined the division as Deputy Director in November 2017, and became Chief Counsel in June 2018. The division s Office of the Chief Counsel, among other responsibilities, is responsible for responding to requests for legal and policy guidance, evaluating applications for exemptive relief, overseeing the division s liaison with the Divisions of Enforcement and Examinations, technical assistance on legislation affecting investment advisers and funds, and engagement with international regulators on matters related to asset management. ....

United States , David Nelson , Paulg Cellupica , Dalia Blass , Harvard Law School , Enforcement Liaison Office , Us Court , Division Of Enforcement , Investment Company , Counsel For The Americas At Metlife Inc , Client Commission Arrangements Ccas , Annuity Association Of America , Division Of Investment Management , Board Outreach Initiative , Exchange Commission , Im Liaison Office , Share Class Selection Disclosure Initiative , Harvard College , Counsel Of The Division Investment Management , Deputy Director , Chief Counsel , Investment Management , Director Blass , Outreach Initiative , Staff Guidance , Exemptive Relief ,