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Searching Content by Peter McCamman ordered by Published Date Descending.
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SEC Staff Seeks Public Comment Regarding Custody Issues Associated With Non-DVP Arrangements And Digital Assets
On March 12, 2019, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the "Staff" and the "SEC," respectively) published a letter to the Investment Adviser Association.
United States
10 Apr 2019
2
SEC Staff Grants Limited No-Action Relief Regarding The In-Person Board Meeting Requirement Under The Investment Company Act
On February 28, 2019, the staff of the SEC's Division of Investment Management granted no-action relief in connection with the 1940 Act's in-person meeting requirements ...
United States
19 Mar 2019
3
OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
The US Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its 2019 examination priorities on December 20, 2018,
United States
27 Feb 2019
4
US Securities And Exchange Commission Announces 2015 Examination Priorities
The Office of Compliance Inspections and Examinations of the US Securities and Exchange Commission has announced its 2015 examination priorities.
United States
27 Jan 2015
5
US Securities And Exchange Commission Adopts Amendments To Money Market Fund Rule (Rule 2a-7)
On July 23, 2014, the US Securities and Exchange Commission by a 3-2 vote, adopted amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended.
United States
28 Oct 2014
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