Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Proposes New Rules Governing Mutual Fund Distribution Fees
  • SEC Adopts Amendments to Part 2 of Form ADV

Industry Update

  • SEC Provides Guidance on Derivatives-Related Disclosure by Investment Companies
  • SEC No-Action Letter Permits an FCM to Custody Assets for ’40 Act Funds for Cleared CDS Transactions
  • SEC Releases Guidance on Recent Changes to Accredited Investor Standard
  • SEC Requests Public Comments to Inform Study on Broker-Dealer Investment Adviser Standard of Care


  • Supreme Court to Review Liability of Investment Adviser to Mutual Funds in Private Securities Fraud Cases
  • SEC Awards $1 Million for Insider Trading Information
  • New York Court of Appeals Affirms Summary Judgment Decision in Favor of Hedge Fund Accountant in Fraud Claim Brought by Hedge Fund Investors
  • Goldman Sachs and SEC Reach a $550 Million Settlement