Investment Management Regulatory Update - June 2016
Client Newsletter

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SEC Rules and Regulations

  • SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act

Industry Update

  • Legal Implications of Brexit
  • FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
  • Partners as Employees? IRS Says Not So Fast
  • Director of Enforcement Division Speaks at Securities Enforcement Forum
  • SEC Chair White Speaks at Investment Company Institute’s 2016 General Meeting


  • SEC Charges Hedge Fund Manager and CIO with Disclosure Failures Relating to Allocation of Investment Opportunities
  • FGIMC Settles Charges Relating to Failure to Oversee Consulting Relationships
  • Blackstreet Capital and Owner Settle Charges for Acting as an Unregistered Broker and Other Advisers Act Violations
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