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Proposed Money Market Fund Reforms Related to Negative Interest Rates Favor Conversion to Floating NAV and Prohibit Other Stabilizing Measures | K&L Gates LLP

On 15 December 2021, the Securities and Exchange Commission (the SEC) proposed amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended (the 1940 Act) (the Proposed.

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SEC Proposed Amendments Rule 2a-7 under the ICA 40 Act

The amendments reflect the SEC’s concern over market stresses impacting MMFs in very low interest rate environments such as the COVID-19 pandemic in March 2020, and it is the SEC’s belief that such measures will improve the resiliency of MMFs in government and retail MMFs.

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OCC Seeks Feedback on Principles for Climate-Related Financial Risk Management | Goodwin

In this Issue. The Office of the Comptroller of the Currency (OCC) is seeking feedback on principles for climate-related financial risk management for large banks; the Department of.

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Statement On Proposed Changes To Asset Managers Proxy Voting Disclosures, SEC Commissioner Elad L Roisman, Sept 29, 2021

Statement On Proposed Changes To Asset Managers Proxy Voting Disclosures, SEC Commissioner Elad L Roisman, Sept 29, 2021
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Statement On The New Marketing Rule For Investment Advisers, SEC Commissioner Elad L Roisman, Dec 22, 2020

Statement On The New Marketing Rule For Investment Advisers, SEC Commissioner Elad L. Roisman, Dec. 22, 2020 Date 22/12/2020 I am grateful to the staff of the Division of Investment Management (the “Division”) for working so hard to develop this final rule governing the way investment advisers advertise and market their investment advisory services and products.[1] I would also like to extend my thanks to our staff in the Division of Economic and Risk Analysis and the Office of the General Counsel, as well as to the many others at the agency who informed and contributed to this effort. Additionally, let me express my gratitude to the commenters who engaged with this agency on just about every aspect of this rulemaking. Your input has been invaluable to me as I have considered the Division’s recommendation. Indeed, it reminds me of just how important the notice and comment process is to our rulemaking efforts.

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