Investment Management Regulatory Update - March 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Extends Rule 482 No-Action Position to Certain Information Furnished to Participants and Beneficiaries in Certain Non-ERISA Retirement Savings Plans

Industry Update

  • Interagency Volcker Rule FAQ Addresses Scope of U.S. Marketing Restrictions under SOTUS Covered Fund Exemption
  • IM Guidance Update regarding Gifts and Entertainment
  • SEC Commissioner Discusses Prudential Regulators and Mutual Funds at 2015 Mutual Funds and Investment Management Conference
  • Co-Chief of Asset Management Unit Discusses Enforcement Priorities, Conflicts of Interest at IA Compliance Conference
  • SEC Commissioner Opposes Use of Bad Actor Disqualifications as Enforcement Tool
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