Investment Management Regulatory Update - September 2017
Client Newsletter

Created date


Industry Update

  • SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
  • SEC Grants No-Action Relief to Registered Closed-End Management Investment Companies Filing Rule 486(b) Post-Effective Amendments to Registration Statements
  • OCIE Issues Risk Alert on Common Advertising Rule Compliance Issues Identified in Investment Adviser Examinations
  • So You Want to Buy a Stake in a Private Equity Manager?


  • Eighth Circuit Affirms Judgment Finding that Fund-of-Funds Shareholder Lacks Standing to Challenge Fees Paid by Underlying Funds
  • SEC Charges Chief Compliance Officer for Failure to Verify Accuracy of Securities Filings
  • SEC Charges Adviser for Improper Allocation of Consulting and Other Fees
  • SEC Charges Hedge Fund with Failing to Prevent Insider Trading