Title
Private Equity Regulatory Update - March 2020
Client Newsletter
Created date
3/31/2020
COVID-19 Update
- SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak
- CFTC and NFA Provide Temporary Regulatory Relief to Commodity Pool Operators and Commodity Trading Advisers in Response to the COVID-19 Outbreak
Rules and Regulations
- SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
Industry Update
- Commissioner Allison Herren Lee Delivers Remarks before the Investment Adviser Association Compliance Conference 2020
- SEC Disapproves Proposed Rule Change to Permit Listing and Trading of Shares of United States Bitcoin and Treasury Investment Trust
Litigation
- SEC Settles with Investment Adviser for Engaging in Unauthorized Principal Trades
- SEC Sues Investment Advisers for Alleged Failures to Disclose Financial Conflicts of Interest
- SEC Obtains Judgment Against Former Chief Compliance Officer of Investment Adviser
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