Investment Management Regulatory Update - January 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Extends No-Action Relief to Three Derivatives Clearing Organizations Regarding Custody Rule

Industry Update

  • SEC’s National Examination Program Releases its Examination Priorities for 2015
  • IM Guidance Update Clarifies Restrictions on Business Development Companies’ Co‑Investments with Certain Second-Tier Affiliates
  • IM Guidance Update Advises on Whether Certain Key Employee Trusts Are “Family Clients” under the Family Office Rule
  • SEC Chairman Mary Jo White Defends Coverage of Investment Advisers in Letter to the Chairman of the House Financial Services Committee
  • IM Director Discusses Compliance, Disclosure and the Role of Data
  • IRS Internal Memorandum Concludes Offshore Fund Engaged in Lending and Underwriting Business in the United States
  • Financial Stability Oversight Council Releases Request for Comment on Asset Management Products and Activities


  • SEC Charges Investment Manager F-Squared and Former CEO with Making False Performance Claims
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