Asset Management ADVocate
Financial Services & Investments

Asset Management ADVocate

The Asset Management ADVocate provides unique analysis and insight into legal developments affecting asset managers in the United States.
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June 29, 2015

SEC Division of IM Issues Guidance Update on Personal Securities Transactions

 On June 26th, the Securities and Exchange Commission's Division of Investment Management issued IM Guidance Update No. View blog post
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June 22, 2015

Liquidity: An Afterthought to the Investment Company Act

 SEC Commissioner Kara Stein gave a thoughtful speech at the Brookings Institution the other day, identifying some urgent questions regarding mutual fund regulation. I am simpatico with many of the views expressed in her speech. View blog post
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June 10, 2015

Using Money Fund Gates in a (and as a) Clutch

 Many have found Question 28 of the SEC staff's 2014 Money Market Fund Reform Frequently Asked Questions frustrating. View blog post
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June 2, 2015

Investment Advisers Act Compliance Developments in 2015

 The year 2015 is shaping up to have an unusual focus on the center of that string of relationships tracing the path from end-investor to asset class -- that is, the nuts and bolts of asset management "operations."  Click here  View blog post
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May 28, 2015

Why Intermediaries Can Stop Worrying About Money Fund Liquidity Fees—Part Three

 Currently, managers and directors of money market funds are wrestling with the question of how to make certain that every intermediary selling their funds can implement a liquidity fee. View blog post
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May 18, 2015

Form BE-10 Reminder… Plus New FAQs for Funds

Update:  For many filers, May 29 was the deadline for Form BE-10 to be filed with the Department of Commerce's Bureau of Economic Analysis.  Certain others have obtained an extension, and those with 50 or more foreign affiliates may have until June 30.

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May 15, 2015

Transfer and Sub-Transfer Agent Cybersecurity: Implementing SEC Guidance

 The cybersecurity threats faced by mutual fund transfer agents (TAs) and sub-transfer agents (Sub-TAs) are unique because their information technology (IT) networks house a massive amount of personally identifiable information (PII) belonging to the funds they serve (Fund PII).*  In its recent IM Gu View blog post
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May 5, 2015

Welcome to Asset Management ADVocate!

Welcome to our new blog, in which you will find unique analysis and insights into legal developments affecting asset managers and investment funds in the United States.

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