Investment Management Regulatory Update – July 2016
Client Newsletter

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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


  • Private Fund Administrator Settles Charges for Gatekeeper Failures
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