Investment Management Regulatory Update - November 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Grants No-Action Relief to BlackRock Funds for Filing Post-Effective Amendments to Their Registration Statements
  • SEC Grants No-Action Relief Relating to Bank Collective Trusts’ Investment in Insurance Company Separate Accounts Relying on the Section 3(c)(11) Exemption from the Investment Company Act

Industry Update

  • Office of Compliance Inspections and Examinations Issues NEP Risk Alert on Outsourced CCOs
  • SEC Chair Mary Jo White Discusses Regulation of Private Fund Advisers
  • SEC Chief of Staff Andrew J. Donohue Addresses NRS Conference on the Role of Compliance Professionals
  • SEC Releases Private Funds Statistics Report
  • CFTC Responds to FAQs Regarding Form CPO-PQR
  • ILPA Proposes Fee Reporting Template for Public Comment


  • SEC Charges UBS Advisory Firms for Failing to Disclose Change in Investment Strategy
  • SEC Charges Affiliated Broker-Dealer and Investment Adviser with Failing to Prevent Misuse of Material Nonpublic Information
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