COVID-19: Notable Investment Company Regulatory Changes

Posted by Rajesh Misra on Apr 17, 2020 5:10:15 PM

In recognition of the operational challenges caused by COVID-19 for funds and their Trustees/Directors, the Securities and Exchange Commission (“SEC”) and the Internal Revenue Service (“IRS”) have both issued exemptions relating to filing due dates and other requirements.

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BBD Investment Management Group Partner Jim Kaiser Featured in "Ignites" Q&A: Are SOX Challenges Decreasing for Funds?

Posted by admin on Mar 29, 2012 3:25:00 PM

Are SOX challenges decreasing for Funds? Jim Kaiser, a partner in BBD's Investment Management Group, answers this question for the latest "Your Q&A" column in "Ignites."

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