Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Grants No-Action Relief to Closed-End Funds for Filing Post-Effective ‎Amendments to Registration Statements‎

Industry Update

  • Director of OCIE Discusses Private Equity Fund Compliance
  • IM Information Update Requests Confirmations Accompanying Comparison ‎Documents in Applications for Exemptive Relief
  • CFTC Announces Streamlined Process to Grant No-Action Relief from ‎Registration for Delegating CPOs ‎Registration