Investment Management Regulatory Update - April 2017
Client Newsletter

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Industry Update

  • IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure
  • IM Information Update Sets Out Framework for Requesting Tax Claims Letters
  • Division of Investment Management Issues Guidance on Holding Companies and the Application of Rule 3a-2 under the Investment Company Act
  • Financial CHOICE ACT Proposes to Exempt Private Equity Fund Advisers from Registration and Reporting Requirements of Advisers Act
  • SEC Subpoena Serves as a Reminder to Fully Disclose IRR Calculations and Assumptions
  • SEC Approves Move to T+2 Standard Settlement Cycle
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