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Learn MoreAt the Investment Company Institute (ICI) 2023 Tax and Accounting Conference held recently in San Antonio, regulatory readiness, the swift pace of the regulatory agenda and exploring investment alternatives were key focal points of the event. Panel after panel touched on regulatory change and the...
Read MoreTo help you stay up to date with evolving investment industry regulations, their timing and overall impact, read our recap of the latest developments at the SEC, PCAOB and FASB.
Read MoreThe pace and intricacies of regulatory change in the investment industry are, at times, nothing short of overwhelming. Yet, organizations in this space need to have a clear understanding of evolving regulations, their timing and overall impact. To help you stay up to date, below is Cohen &...
Read MoreThe pace and intricacies of regulatory change in the investment industry are, at times, nothing short of overwhelming. Yet, organizations in this space need to have a clear understanding of evolving regulations, their timing and overall impact. To help you stay up to date, below is Cohen &...
Read MoreThe pace and intricacies of regulatory change in the investment industry are, at times, nothing short of overwhelming. Yet, organizations in this space need to have a clear understanding of evolving regulations, their timing and overall impact. To help you stay up to date, below is Cohen &...
Read MoreThis blog was updated 2/17/21 Last week, the Securities and Exchange Commission (SEC) continued its modernization plan, significantly altering the framework for derivatives used by registered investment companies (including mutual funds, ETFs, closed-end funds and business development companies)....
Read MoreThe Securities and Exchange Commission (SEC) adopted new rules and forms to modernize the reporting of information by registered investment companies (funds) in October 2016. The final rule included four key components: Adoption of Form N-PORT — For reporting portfolio-wide and position-level...
Read MoreAs part of its initiative to improve the information provided to shareholders through disclosure requirements, the Securities and Exchange Commission (SEC) voted on August 17 to adopt amendments simplifying the disclosure process for preparers, while retaining information that they believe is most...
Read MoreThe SEC continuously tries to improve communication between shareholders and registered investment companies (RICs) while working towards easier access and delivery of information. The SEC recently adopted Rule 30e-3, which offers shareholders a “notice and access” method to receive all future...
Read MoreOn June 21, 2018, the United States Court of Appeals for the Fifth Circuit based in New Orleans confirmed its decision to vacate the Department of Labor’s (DOL) fiduciary rule, known as the “Definition of the Term ‘Fiduciary’; Conflict of Interest Rule -- Retirement Investment Advice” (the Rule)....
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