Investment Management Regulatory Update - July 2017
Client Newsletter

Created date


Rules and Regulations

  • SEC Updates Form ADV Frequently Asked Questions

  • Interacting with Retirement Investors under the DOL Fiduciary Rule

Industry Update

  • Acting Director and Acting Chief Economist of DERA Gives Speech on Market Fragility and Interconnectedness in the Asset Management Industry

  • SEC Grants No-Action Relief to Nuveen Fund Advisors under Section 15(a) of the Investment Company Act to Extend Interim Sub-Advisory Agreements Past Their Expiration Dates without Shareholder Approval

  • ILPA Issues Guidance on Use of Subscription Credit Lines


  • Investment Adviser Sentenced for Fraudulent Cherry-Picking Scheme