Title

Investment Management Regulatory Update - April 2015
Client Newsletter

Created date

4/27/2015

SEC Rules and Regulations

  • SEC Adopts Final Regulation A+ Rules
  • SEC Grants No-Action Relief From Section 206(4) to 16th Amendment Advisors LLC
  • SEC Grants No Action Relief from Sections 12(d)(1)(A) and (B) and 17(a) of the Investment Company Act to Franklin Templeton Investments

Industry Update

  • Division of Corporation Finance Issues Policy Statement on Granting Disqualification Waivers under Regulation A and Rules 505 and 506 of Regulation D
  • Acting Director of the Division of Investment Management Discusses Enhanced Data Reporting and Portfolio Composition Risks
  • Acting Director of the Division of Investment Management Discusses Enhanced Data Reporting, Transition Plans and Stress Testing

Litigation

  • SEC Announces Fraud Charges Against Investment Advisers Accused of Concealing Poor Performance of CLO Funds
  • SEC Announces Enforcement Action Against Restrictive Language in Confidentiality Agreements
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