Title

Investment Management Regulatory Update
Client Newsletter

Created date

11/19/2014

SEC Rules and Regulations

  • SEC Issues Preliminary Denial to Exemptive Relief Applications for Operation of Non-Transparent Active ETFs

Industry Update

  • CFTC Announces Self-Executing Registration No-Action Relief for Certain Delegating CPOs
  • SEC Investor Advisory Committee Offers Recommendations for Accredited Investor Definition
  • IM Director Discusses Risk Monitoring Efforts and Alternative Mutual Funds
  • IM Guidance Update Clarifies Mutual Fund Obligations for Mixed and Shared Funding Orders
  • IM Guidance Update Advises Certain Investment Companies on the Presentation of Their Consolidated Financial Statements

Litigation

  • SEC Announces Charges Against Investment Manager and Senior Officials for Violations of Custody Rule