In The News

In Fund Directions and Fund Action, Investment Management Counsel Discusses the SEC’s Reg Flex Agenda

Practices: Asset Management, Investment Management, Investment Management Compliance

Articles published in Fund Directions and Fund Action on May 18, report on the SEC’s Spring Regulatory Flexibility Agenda, released on May 9, highlighting that the Commission has made regulation of mutual funds’ use of derivatives a priority. The SEC originally proposed a derivatives rule for mutual funds in late 2015. The articles include comments from investment management counsel David Tittsworth. “The updated rulemaking agenda is certainly ambitious,” according to Mr. Tittsworth. “While no one expects the SEC to adopt final rules in all these areas during the next year, it appears that a number of amendments to the [Investment] Advisers Act and Investment Company [Act] rules will be set in motion during the coming months.”

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