Title
Private Equity Regulatory Update - August 2019
Client Newsletter
Created date
8/27/2019
Rules and Regulations
- SEC Clarifies Investment Advisers' Proxy Voting Responsibilities
Industry Update
- Jay Clayton Speech – Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards That Protect and Provide Choice for Main Street Investors
- SEC and NASAA Issue Summary Statement Regarding Federal and State Securities Laws Implications of Opportunity Zone Investments
Litigation
- SEC Sues REIT Sponsor and Executives Alleged to Have Wrongfully Obtained Millions in Charges and Partnership Units
- SEC Settles with Former Investment Adviser for Engaging in Unauthorized Security Allocations to Client Accounts
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