Investment Management Regulatory Update - October 2019
Client Newsletter

Created date


Rules and Regulations

  • SEC Adopts Rule to Modernize ETF Regulation

  • SEC Staff Releases Accounting and Disclosure Information Regarding Performance and Fee Issues

  • SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation


  • SEC Settles with Private Equity Adviser for Management Fee Overcharges

  • SEC Settles with Investment Advisers for Alleged Violations of Investment Company Act, Material Omissions in SEC application, and Violations of the Advisers Act Custody Rules

  • Update: SEC Announces Additional Settlements Under the SEC’s 12b-1 Fee Self-Reporting Initiative