Client Alert

The Investment Company Act (New Rule Compliance Matrix: A Comprehensive Overview of the Major Regulatory Reforms Adopted by the SEC)

December 08, 2004

Investment Management Practice Group

Now that the October 5, 2004 deadline for registered investment companies to adopt compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act of 1940 has passed, Fund managers and Fund boards have begun to focus their attention on several other important regulatory initiatives that the Securities and Exchange Commission has proposed and adopted over the last year. These new rules will have a significant impact on the way Funds and Boards operate, how Fund shares are sold, and how Fund disclosure documents are written.

Click here for a PDF of the full text

Practice Areas

Investment Management

Get In Touch With Us

Contact Us