Investment Management Regulatory Update - April 2018
Client Newsletter

Created date


Rules and Regulations

  • Spending Bill Includes Reforms Impacting Business Development Companies

  • SEC Proposes Enhanced Standards for Advice to Retail Investors

Industry Update

  • Dalia Blass Delivers Keynote Address at ICI 2018 Mutual Funds & Investment Management Conference

  • Mutual Fund Firms Agree to Active Share Disclosure

  • OCIE Issues Risk Alert on Most Frequent Advisory Fee and Expense Compliance Issues Identified in Investment Adviser Examinations


  • Voya Advisers Settle SEC Charges Relating to Undisclosed Securities Lending Conflict