In BoardIQ, Investment Management Partner James Thomas Discusses SEC Regulations in 2018

In The News
January 3, 2019

An article published by BoardIQ on Jan. 2 titled “The Year in Regulation: Liquidity, ETFs, Derivatives” recaps some of last year’s developments that are likely to carry over to fund boards in 2019. Remarks from investment management partner James Thomas are included in the piece. “It may be useful to keep an eye on the commission’s modernization of investment company disclosure, watching for commission action on derivatives, and on any changes to rules or new expectations about auditor independence,” notes Mr. Thomas.