Investment Management Regulatory Update - February 2017
Client Newsletter

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SEC Rules and Regulations

  • SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment Company Act Do Not Apply to a Broker for Clean Shares
  • SEC Issues Interpretation Under Rule 12d1-2(a)(1) of the Investment Company Act

Industry Update

  • SEC Staff Updates Form PF Frequently Asked Questions
  • Financial Stability Board Releases Final Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities


  • BlackRock Settles Charges Related to Separation Agreements Waiving Whistleblower Awards
  • Investment Advisers Charged with Pay-to-Play Rule Violations
  • Large Financial Institution Settles with SEC for Client Billing, Custody Rule and Records Violations
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