Investment Management Regulatory Update - March 2018
Client Newsletter

Created date


Rules and Regulations

  • SEC Proposes Amendments to Liquidity Disclosure Requirements
  • SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms

Industry Update

  • SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers


  • SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures
  • United States Pursues False Claims Act Suit Against Private Equity Firm for Portfolio Company’s Alleged Prescription Kickback Scheme
  • SEC Charges Ameriprise with Overcharging Retirement Account Customers for Mutual Fund Shares