Title

Investment Management Regulatory Update - August 2015
Client Newsletter

Created date

8/25/2015

SEC Rules and Regulations

  • SEC Issues No Action Relief to Business Development Company Structured as Master-Feeder

Industry Update

  • Interagency Volcker Rule FAQ #16 Addresses Treatment of RICs and FPFs as Banking Entities During Their Seeding Period

Litigation

  • SEC Charges Deloitte with Auditor Independence Violations
  • SEC Charges Investment Advisory Firm with Fraudulent Valuation Scheme
  • SEC Charges Registered Investment Adviser for Failure to Adequately Disclose Conflict of Interest Relating to Compensation Arrangements