Investment management regulatory update - March 2021
Client Newsletter

Created date


Rules and Regulations

  • Effective Date Set for Final Rule on Registered Fund Valuations
  • Effective Date Set for Modernized Marketing Rule for Investment Advisers
  • SEC Staff Statement on Registered Fund Cross Trading

Industry Update

  • SEC Division of Examinations Releases Examination Priorities for 2021
  • SEC Division of Examinations Risk Alert on Digital Asset Securities