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On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored Shareholder Reports. Among the important issues addressed in the FAQs were: 1.     Appropriate broad-based securities market index 2.     Form N-CSR and website availability requirements 3.     Binding individual shareholder reports of multiple funds 4.     Compliance date and Inline XBRL issues 5.     Electronic delivery of shareholder reports We’ve previously discussed most of the topics, but in this blog, Guy Stanzione provides an overview of electronic delivery of shareholder reports. https://lnkd.in/gGEmgDYC #TailoredShareholderReports #SimplifyingComplexity #ExpandingPossible

On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored Shareholder Reports. Among the important issues addressed in the FAQs are:     1. Appropriate broad-based securities market index     2. Form N-CSR and website availability requirements     3. Binding individual shareholder reports of multiple funds     4. Electronically provided shareholder reports     5. Compliance date and Inline XBRL issues In this blog, Guy Stanzione provides an overview of the published FAQs, specifically addressing Form N-CSR and website availability requirements. https://lnkd.in/giApzJ4S #TailoredShareholderReports #AdvancingBusiness #ExpandingPossible

Read this SEC/FAQ on TSR/N-CSR ASAP and you'll be A-OK! (This concludes our acronym overload for today.) #TailoredShareholderReports #SimplifyingComplexity #ExpandingPossible

Are you ready for the updated Form N-PX reporting? In November 2022, the SEC adopted amendments to Form N-PX to enhance the disclosure of proxy voting information by mutual funds, ETFs, and other registered funds. Additionally, institutional investment managers filing Form 13F will need to report their proxy votes on executive compensation matters, known as “say-on-pay” matters. The final rule takes effect on July 1, 2024, and the first reports on the amended Form N-PX are due by August 31, 2024, covering the period from July 1, 2023, to July 31, 2024. Learn more here: https://hubs.li/Q02DBSPL0 #FormNPX #disclosures #compliance #reporting

On February 6, 2024, the SEC adopted new rules under the Exchange Act, which will significantly expand the definitions of “dealer” and “government securities dealer” to cover additional market participants engaged in liquidity providing activities, what the Staff refers to as “pro forma” market makers. The final rules add new definitions of “as a part of a regular business”, which will capture entities that engage in a regular pattern of buying and selling securities or government securities that has the effect of providing liquidity to other market participants. Learn more in this client alert. https://bit.ly/3SRZgNN

The U.S. Securities and Exchange Commission (SEC) recently finalized their new rules and rule amendments that will require reform and compliance changes within the private fund industry. Designed to provide greater transparency to investors regarding the full cost of investing in and the performance of private funds, these amendments are significant in scope and will require changes across the industry. Join us as we discuss these new regulations and the effect they will have on the compliance requirements for private fund managers Click here: https://lnkd.in/gkvcgPCA #assetmanagement #privatefunds #regulatory #SEC #KPMG

Explore the Latest Updates in Capital Market Regulations: from revamped listing requirements, new restrictions on listed companies operating as investment entities, to increased flexibility in securities holding reporting. Discover upcoming changes to major transaction and related party transaction regulations. Stay informed and ahead in your practice with our comprehensive overview in this month’s newsletter. Find out more on this link: https://bit.ly/3UhgmFO #CapitalMarkets #SECUpdates #SETUpdates #TheCapitalLawOffice #TheCapitalLaw

💥 Attention private equity professionals in my network! 💥 The SEC's recent amendments to Form PF Section 4 are set to boost transparency and systemic risk monitoring. Discover how these changes affect your reporting in the latest blog from AQMetrics .📈🔍 🔗 Read the full blog here: https://bit.ly/3XaJ7X

If you are a large private equity fund advisor or about to be, check out our blog post on the key changes to Section 4 of Form PF. 🔗 Read the full blog here: https://bit.ly/3XaJ7XI #privateequity #FormPF

🚀 Big changes on the horizon for large private equity fund advisers The U.S. Securities and Exchange Commission's recent amendments to Form PF Section 4 aim to enhance transparency and systemic risk monitoring. Dive into our latest blog to understand how these updates impact annual reporting requirements and what they mean for the industry.📈🔍 🔗 Read the full blog here: https://bit.ly/3XaJ7XI #PrivateEquity #SEC #RegulatoryCompliance #FormPF #Finance #AQMetrics #EmergingRegulations #FinancialReporting