Curated Articles for June 2019 (Your Summer Reading)

Curated Articles for June 2019 (Your Summer Reading)

Ah, welcome to the hot days of summer, which technically doesn’t start until June 20. But that didn’t stop temperatures around the United States from topping 95 degrees last week. Whew! And with that warm, beach weather comes the start of vacation season. So in case you forgot to pack that massive stack of reading material that you’ve been collecting since January, below are some articles for your reading pleasure. (Please note that subscriptions may be required for certain articles, sorry.)

  1. The SEC continues to focus on cybersecurity, but now it's focusing on your technology vendors.Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features, OCIE Risk Alert (May 23, 2019)

  2. Although it’s a niche piece, for those of you that manage investment companies and occasionally engage in mergers or acquisitions of funds, the SEC has made your life a little easier (or at least your accountant’s and lawyer’s lives).

Investment Company Acquisitions: SEC Proposes Amendments To Financial Statement Disclosures, BBD (May 16, 2019)

  1. We’ve seen an uptick in chatter about a potential market correction. We don’t know if it’s coming soon, but this article from dot-com survivor was both interesting and entertaining.

Warning Signs That a Bubble Is About to Burst, OneZero on Medium (May 14, 2019)

  1. ETFs are all the rage in today’s fund space, and the SEC’s approval of a new type of ETF (see article below) has financial engineers excited. But as we often counsel our clients, it pays to do some planning before diving into the space.

Launching An ETF In 2019? Rethink Your Marketing Mix, Gregory FCA (April 29, 2019)

  1. Non-Transparent, actively-managed ETFs have been on the table for nearly a decade, but it took that long for the SEC to allow at least one structure to go to market; Commissioner Hester Pierce is not happy about the delay, but the tide may be shifting.EC Moves Toward Approval of First Non‑Transparent Active ETF, S Stradley Ronon (April 9, 2019)