Vedder Price

Investment Services Resources

The ongoing coronavirus pandemic has had a significant impact on the investment industry, which will continue to develop as more governmental and regulatory agencies respond to the crisis.

Vedder Price’s Investment Services group has set up this page to help investors and investment industry professionals stay abreast of the many legal considerations associated with the pandemic. As regulators issue further guidance, and new developments take shape, we will update this list with our latest client bulletins and links to the most current external resources.

Related Vedder Thinking:

April 1, 2020 | Newsletter/Bulletin
Investment Services Regulatory Update
Special Issue on COVID-19 Related Developments

March 31, 2020 | Newsletter/Bulletin
SEC Updates Investment Company Act Exemptive Order in Response to COVID-19

March 31, 2020 | Newsletter/Bulletin
Board Oversight in the Age of COVID-19: Part Two

March 27, 2020 | Newsletter/Bulletin
COVID-19 Update—SEC Staff Expands Exchange Act, Form ADV and Form PF Filing Relief

March 27 2020 | Newsletter/Bulletin
SEC Issues Temporary Borrowing Relief for Mutual Funds and Insurance Company Separate Accounts 

March 27, 2020 | Newsletter/Bulletin
Strategies for Funds Facing Liquidity Issues as a Result of the COVID-19 Pandemic 

March 26, 2020 | Newsletter/Bulletin
SEC Staff Issues Statement on Regulation S-T Manual Signature Requirements

March 25, 2020 | Newsletter/Bulletin
COVID-19 Update – SEC Staff Issues Guidance for Conducting Annual Meetings

March 23, 2020 | Newsletter/Bulletin
Federally Covered Advisers – State Notice Filings and Investment Adviser Representative Registration Concerns under COVID-19

March 23, 2020 | Newsletter/Bulletin
Board Oversight of COVID-19 Related Matters

March 18, 2020 | Newsletter/Bulletin
NFA Issues COVID-19 Alert on Business Continuity Plans, Relief for Branch Office Requirements and Reminder on Upcoming Deadline for CTA-PR Filing Relief

March 17, 2020 | Newsletter/Bulletin
COVID-19 Update – Limited Form ADV & Form PF Filing Relief

March 16, 2020 | Newsletter/Bulletin
SEC Issues New Exemptive Order in Response to COVID-19

March 16, 2020 | Webinar
Live Webinar: Coronavirus Impacts on Funds and Investment Advisers

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External Resources:

 

Joseph M. Mannon
Shareholder

Maureen A. Miller
Shareholder

Jeff VonDruska
Associate