Investment Management Regulatory Update - July 2020
Client Newsletter

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Rules and Regulations

  • SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers

  • SEC Adopts Amendments to Exemptive Application Procedures

Industry Update

  • SEC Issues Supplemental Guidance Concerning Proxy Voting Responsibilities of Investment Advisers


  • SEC Settles with Investment Advisers for Allegedly Causing Managed Funds to Exceed Investment Company Act Ownership Limits