The 2022 primary layout has been designed to "track" IRS Form 1099-DIV. The 2022 secondary layout provides a format for RICs to use in reporting various additional tax-related items.
On July 26, William Birdthistle, Director of the SEC's Division of Investment Management, gave a speech on current issues and trends in investment management at the Practicing Law Institute Investment Management 2022 program.
Yesterday, the SEC's Division of Enforcement announced the settlement of enforcement actions it brought against three firms: two dually-registered as a broker-dealer and investment adviser and one broker-dealer.
Last month, the Securities and Exchange Commission (SEC or "Commission") adopted final rules and form amendments to mandate electronic filing of certain documents that are currently filed in paper format.
On 24 June 2022, the Chinese Securities Regulatory Commission (CSRC) released for public consultation the Interim Provisions on the Management of Publicly Offered Securities Investment Funds for Private Pension Investments (Draft for Comments) ("Draft Provisions").
[34223] July 14, 2022 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Amends its 2020 Proxy Advice Amendments Yesterday, the SEC adopted changes to its 2020...
