Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
DB Fitzpatrick “terminated the chief compliance officer at the time of the Contributions and hired a new chief compliance officer
The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
The Commission intends to continue to monitor the current situation
The order, tied to the coronavirus, also extends to Form PF filings
Contact the Commission with guidance or relief requests
SEC remains 'fully operational'
Strings attached if you wish to delay filing Forms ADV and PF