Mitigating 13D/G and N-PX filing risk in light of the SEC's exam 2026 priorities
The U.S. Securities and Exchange Commission (SEC) has signalled a clear shift in its Fiscal Year 2026 Examination Priorities: its scrutiny of Investment Advisers' Compliance Programs will be surgical, focusing on areas where basic, preventable errors persist.
Read moreEnhancing Proxy Voting Transparency: SEC's Amendments to Form N-PX
The Securities and Exchange Commission (SEC) has taken a significant step towards bolstering proxy voting transparency by adopting rule and form amendments to Form N-PX. These changes aim to standardize mutual fund proxy voting disclosures, providing investors with a clearer and more accessible view of voting records.
Read moreMastering SEC’s 13F Filings: Navigating Regulatory Compliance
Understanding regulatory compliance, especially the intricacies of Section 13F filings is a challenge many firms face. Ensuring accurate reporting while managing the time-intensive reviews can be daunting. This blog delves into the specifics of Section 13F, sheds light on the common hurdles companies encounter, and underscores the critical need for a streamlined approach to regulatory compliance.
Read moreChanges Ahead? What’s Next for Rule 13F
For US-based funds there could soon be other changes coming down the line, particularly to the longstanding 13F rule.
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