June 24, 2015

The SEC’s Proposed Reporting and Disclosure Changes: What Investment Companies and Advisers Should Know

On May 20, 2015, the Securities and Exchange Commission (“SEC”) issued a release proposing new rules and forms and amendments to existing rules and forms that would affect registered investment companies (the “Investment Company Proposal”).  In a companion release, the SEC proposed amendments to an existing form and rules that would affect investment advisers (the “Investment Adviser Proposal”).  These two Proposals are intended to modernize and enhance disclosures for the investment management industry. Additionally, the Proposals would further the SEC’s use of technology in its efforts to monitor risks as the primary regulator of registered investment companies and registered investment advisers.

The SEC indicated that these Proposals are a result of the growth of new and increasingly complex investment products and strategies. Additionally, the Proposals seek to take advantage of technological advances in data collection and analysis.

Read "The SEC’s Proposed Reporting and Disclosure Changes: What Investment Companies and Advisers Should Know." 

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