Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering  Reforms Mandated by JOBS Act
  • SEC Grants No-Action Relief to Adviser to Allow Subadvisers to Deliver Brochure Documents to  Adviser Instead of Clients
  • Reminder Regarding Changes to Form 13F Filing Process

Industry Update

  • European Parliament Rejects Proposal to Cap UCITS Managers’ Bonuses at 100% of Fixed  Salary


  • D.C. Circuit Upholds Dismissal of ICI and Chamber of Commerce Challenge to CFTC  Amendments Affecting Registered Investment Companies
  • SEC Issues Second-Ever Whistleblower Award