Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Grants No-Action Relief to Permit Fund to Implement Sub-advisory Arrangement Prior to Shareholder Approval

Industry Update

  • IM Director Discusses Recent Developments and Rulemaking Initiatives
  • IM Guidance Update on Testimonial Rule and Social Media


  • Supreme Court Extends Whistleblower Protection to Mutual Fund Service Providers

Notes from Europe: European Regulatory Developments

  • New Pan-European Market Abuse Legislation
  • UCITS V Approved by European Parliament
  • European Parliament Passes the Second Markets in Financial Instruments Directive
  • UK: AIFMD Reporting Obligations