Title

Investment Management Regulatory Update
Client Newsletter

Created date

10/22/2013

SEC Rules and Regulations

  • SEC Focused on Violations of Rule 105 of Regulation M
  • IM Director Discusses Current Priorities Regarding Hedge Fund Managers
  • SEC Staff Provides Guidance to BDCs Regarding Summarized Financial Statements of Subsidiaries
  • SEC Releases Final Municipal Advisor Registration Rules

Industry Update

  • CFTC Provides No-Action Relief from Certain Reporting Obligations for CPOs of Controlled Foreign Corporations Wholly-Owned by Registered Investment Companies

Litigation

  • SEC Charges Former Portfolio Manager with Misleading Chief Compliance Officer

Notes from Europe: European Regulatory Developments

  • UK AIFMD Remuneration Code Disapplication
  • European Parliament Proposes Regulation on European Long-Term Investment Funds