Investment Management Regulatory Update - February 2014
SEC Rules and Regulations
- SEC Issues Guidance on Rule 506(c) Exemption
- SEC Issues No-Action Guidance Regarding Definition of “Knowledgeable Employee” Under the Investment Company Act
- IM Guidance Update Urges Risk Management in Changing Fixed Income Market Conditions
Industry Update
- SEC Issues Risk Alert Focusing on Due Diligence Processes of Investment Advisers
- FINRA Loosens Private Fund Anti-Spinning Compliance Regulations for Private Fund Managers and Proposes Rule to Grant Exemptions from Such Regulations Without SEC Approval s
Litigation
- SEC Sanctions Investment Adviser for Defrauding Clients
- SEC Sanctions Investment Adviser for Advisers Act Violations
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