Investment Management Regulatory Update - September 2016
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules

  • SEC Adopts Amendments to Form ADV and Advisers Act Rules


  • Investment Advisers Charged with Advertising False Performance Claims

  • SEC Actions Focus on Private Equity Fees, Conflicts and Supervision

  • Federal Court Rules in Favor of Adviser in Section 36(b) “Manager of Managers” Excessive Fee Suit