Simpson Thacher Attorneys Author Law360 Article on SEC Risk Alert for Registered Investment Companies
01.21.25
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Partners David Blass, Meaghan Kelly and Michael Osnato and Associate Margaret Foster authored an article titled, “Takeaways From SEC's Registered Investment Cos. Risk Alert,” which was published by Law360. The article discussed a risk alert issued by the SEC concerning registered investment companies (RICs) and their advisers, highlighting the Division's ongoing overall focus for RICs on the three "core review areas" of compliance programs, disclosures and regulatory reports, and fund governance practices. The piece further outlined how the risk alert can inform registrants' examination preparation, as well as assist the smooth functioning of the day-to-day compliance operation.
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