Investment Management Regulatory Update - December 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Staff Grants No-Action Relief Relating to Rule 482 Requirements as Applied to Performance Information Provided by Certain Non-ERISA Retirement Plans
  • SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies

Industry Update

  • Director of Enforcement Addresses National Society of Compliance Professionals


  • SEC Charges Private Equity Advisers with Improper Allocation of Expenses
  • SEC Charges Private Equity Firm and Four Executives with Failing to Disclose Conflicts of Interests
  • SEC Charges Virtus Investment Advisers for Falsely Advertising Performance Claims
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