Investment Management Regulatory Update - November 2019
Client Newsletter

Created date


Rules and Regulations

  • SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules

  • SEC Proposes Rules to Regulate Proxy Advisory Firms and Shareholder Proposals

  • SEC Staff Extends No-Action Relief to Facilitate Cross-Border Implementation of the European Union’s MiFID II Research Provisions

  • SEC Proposes Amendments to Exemptive Application Procedures

Industry Update

  • SEC Enforcement Division Issues Report on Priorities and FY 2019 Results

  • OCIE Issues Risk Alert Addressing Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives


  • District Court Dismisses Excessive Fee Action Against Calamos Following Two-Week Bench Trial