Investment Management Regulatory Update - November 2020
Client Newsletter

Created date


Rules and Regulations

  • SEC Simplifies Private Offering Rules
  • Withdrawal of SEC Staff No-Action Letters Related to Rulemaking on Funds of Funds and ETFs

Industry Update

  • OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offices
  • SEC Division of Investment Management Chief Accountant's Office Issues "Dear CFO" Letter