Title

Investment Management Regulatory Update - January 2020
Client Newsletter

Created date

1/31/2020

Rules and Regulations

  • SEC Proposes to Expand Access to Private Offerings
  • SEC Proposes Rule Changes for Auditor Independence Requirements

Industry Update

  • SEC’s National Examination Program Releases Examination Priorities for 2020
  • SEC Issues Orders Granting Exemptive Relief for Certain Non-Transparent Actively Managed ETFs

Litigation

  • Second Circuit Decision and Proposed Legislation On Insider Trading Law