The March 2020 edition of the Vedder Price Investment Services Group’s Regulatory Update focuses exclusively on the matters pertaining to the ongoing coronavirus pandemic and the governmental and regulatory response thereto relating to the investment services industry.

The Investment Services Group has set up a web page with our latest client bulletins and links to the most current external resources to help investors and investment industry professionals stay abreast of the many legal considerations associated with the pandemic. The Investment Services Group’s resource page can be accessed here.

Below are summaries of and links to coronavirus-related client alerts published by the Investment Services group to date.

• SEC Updates Investment Company Act Exemptive Order in Response to COVID-19 
• COVID-19 Update—SEC Staff Expands Exchange Act, Form ADV and Form PF Filing Relief 
• SEC Issues Temporary Borrowing Relief for Mutual Funds and Insurance Company Separate Accounts 
• Strategies for Funds Facing Liquidity Issues as a Result of the COVID-19 Pandemic 
• SEC Staff Issues Statement on Regulation S-T Manual Signature Requirements 
• COVID-19 Update—SEC Staff Issues Guidance for Conducting Annual Meetings
• Board Oversight in the Age of COVID-19
• Board Oversight in the Age of COVID-19: Part Two
• NFA Issues COVID-19 Alert on Business Continuity Plans, Relief for Branch Office Requirements and Reminder on Upcoming Deadline for CTA-PR Filing Relief

Download the Investment Services Regulatory Update below.