Investment Management Regulatory Update
Client Memorandum

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SEC Rules and Regulations

  • SEC Issues Exemptive Relief for Non-Transparent ETMFs
  • SEC Staff Responds to Questions About Form PF

Industry Update

  • SEC Chair Discusses Risk Monitoring and Regulatory Safeguards for Asset Management Industry
  • IM Director Discusses Developments in the Variable Products Space and Division of Investment Management Guidance Updates and Initiatives
  • SEC Commissioner Addresses Issues of Transparency in Municipal Securities, Private Equity Markets and Exchange Traded Funds
  • Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability
  • SEC Plans Several Initiatives Focused on Investment Funds and Advisers in 2015
  • CFTC Issues No-Action Relief from Registration as Commodity Trading Advisors for Family Offices
  • Chancellor of the Exchequer Discusses Changes in Private Equity Taxation


  • SEC Grants Exemption from Rule 506(d) Disqualification
  • SEC Charges HSBC’s Swiss Private Banking Unit with Providing Unregistered Services to U.S. Clients
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