Investment Management Regulatory Update - May 2020
Client Newsletter

Created date


COVID-19 Update

  • SEC Forms Cross-Divisional COVID-19 Market Monitoring Group

Rules and Regulations

  • SEC Proposes to Modernize Framework for Registered Fund Valuation Practices

Industry Update

  • Commissioner Elad L. Roisman Delivers Remarks Before the Council of Institutional Investors’ Conference


  • SEC Charges Private Equity Firm with Compliance Failures Relating to Investment in Publicly-Traded Company
  • SEC Charges Private Fund Manager with Custody Rule Violations Arising From Failures to Distribute Audited Financial Statements
  • SEC Charges Investment Adviser with Alleged Valuation Errors Leading to NAV Overstatement