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The firm also earned 30 Metropolitan Tier 1 rankings across its Ann Arbor, Chicago, Dallas, New York, San Francisco, and Washington, D.C. offices.
Fund Board Views
Schiff Hardin is pleased to announce that Partner Domenick Pugliese has been shortlisted for the 2018 Mutual Fund Industry Awards Independent Counsel of the Year.
Schiff Hardin announced today that the firm earned top recognition for its marquee practices nationally and in key markets in the 2018 edition of U.S. News – Best Lawyers® “Best Law Firms.”
Schiff Hardin is pleased to announce that for the second year in a row Partner Domenick Pugliese has been shortlisted for 2019 Independent Counsel of the Year Award at the 26th Annual Mutual Fund Industry and ETF Awards.
As a result of recent actions by the Securities and Exchange Commission (“SEC”) and its staff, registered broker-dealers, including over-the-counter (“OTC”) derivatives dealers, are now permitted to electronically file their annual and supplemental reports with the SEC through its Electronic Data Gathering, Analysis and Retrieval (“EDGAR”) system in lieu of filing the reports with the SEC in paper form.
On October 13, 2016, the Securities and Exchange Commission (SEC) adopted rules, forms, and amendments to certain existing rules and forms to modernize and enhance the reporting and disclosure obligations of registered investment companies.
On June 28, 2016, the Securities and Exchange Commission proposed a new rule under the Investment Advisers Act of 1940 which would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans that are reasonably designed to address operational and other risks related to a significant disruption in the investment adviser’s operations.
In late October, the SEC issued its final rule with respect to investment company liquidity risk management programs.
In October, the SEC issued its final rule with respect to investment company swing pricing. The final rule includes amendments to Rule 22c-1 under the Investment Company Act of 1940 and other amendments.
The Securities and Exchange Commission (SEC) has issued its long-awaited guidance following the recent and well-publicized “distribution-in-guise” sweep examination.
The U.S. Commodity Futures Trading Commission (CFTC) recently announced its first use of non-prosecution agreements – in connection with three Citigroup employees accused of utilizing spoofing strategies.
On January 11, 2017, the Securities and Exchange Commission’s Office of Chief Counsel, Division of Investment Management, issued an interpretive letter pursuant to Capital Group’s request under section 22(d) (Section 22(d)) of the Investment Company Act of 1940, as amended (1940 Act), concurring that the American Funds would be able to offer Clean Shares (as defined below) for which a broker could charge customers commissions to effect transactions if such broker is acting solely as an agent on behalf of its customers.
We answered top questions coming out of our recent webinar on trustee-counsel communications in the wake of Kenny v. PIMCO.