Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations 

  • SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act
  • SEC Requests Comment on President’s Working Group Study of Money Market Fund Reforms
  • SEC Proposes Rules Implementing Say-on-Pay and Proxy Vote Reporting Requirements under the Dodd-Frank Act
  • SEC and CFTC Adopt Interim Final Rules Regarding Reporting and Recordkeeping Requirements for Pre-Dodd-Frank Swaps

Industry Update

  • California Enacts Law To Limit “Pay-to-Play” Practices
  • SEC Issues No-Action Letter Regarding Compliance with the Annual Audit Provision of the Custody Rule
  • OCIE Director Discusses Examination Reform


  • Recent New York “Pay-to-Play” Enforcement Actions
  • SEC Charges Hedge Fund Managers with Defrauding Investors in the Valuation of Side Pocket Investments
  • Federal District Court Rules that Fund Manager Committed Fraud in SEC Enforcement Action Relating to PIPE Deals