Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Staff Responds to Questions About Form PF
  • SEC, FINRA and CFTC Release Joint Observations Regarding Business Continuity Plans
  • SEC Staff Expands Relief for “Privately Offered Securities” Under the Custody Rule

Industry Update

  • CFTC Adopts Final Harmonization Rule for CPOs of Registered Investment Companies


  • SEC Charges Investment Adviser and Its Former Owner with Misleading Mutual Fund Directors

Notes from Europe: European Regulatory Developments

  • The Appointment of Delegates Under AIFMD