Title

Investment Management Regulatory Update – July 2016
Client Newsletter

Created date

7/26/2016

SEC Rules and Regulations

  • SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans

Industry Update

  • SEC Division of Investment Management Publishes Business Continuity Guidance for Registered Investment Companies
  • Financial Stability Board Releases Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities
  • SEC’s Office of the Investor Advocate Releases Report on Objectives for Fiscal Year 2017

Litigation

  • Private Fund Administrator Settles Charges for Gatekeeper Failures