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Investment Management Legal and Regulatory Update - January 2024

January 16, 2024
21 minute read
View as PDF

Investment Management Legal and Regulatory Update - January 2024

January 16, 2024
21 minute read
View as PDF

Authored By

Brian Anhalt

Brian D. Anhalt

Associate

Ellen Drought

Ellen R. Drought

Shareholder

Carol Gehl

Carol A. Gehl

Shareholder

Kristen Irgens

Kristen A. Irgens

Shareholder

Michael Taibleson

Michael W. Taibleson

Special Counsel

Tom Bausch

Thomas A. Bausch

Shareholder

Yamilett Lopez

Yamilett M. Lopez

Associate

Practices

Employee Benefits

Investment Management

Securities

Latest Developments

  • SEC Announces 2024 Examination Priorities
  • SEC Announces Enforcement Results for Fiscal Year 2023

Latest Developments: Advisers

  • SEC Amends Rules Governing Beneficial Ownership Reporting
  • SEC Publishes 38 New FAQs on Form ADV
  • DOL Proposes New Definition of Investment Advice Fiduciary and Amendments to PTE 2020-02
  • Department of Treasury to Repropose AML Rule for Certain Advisers

Litigation/Enforcement Actions

  • Supreme Court review of Fifth Circuit decision in Jarkesy v. United States

Authored By

Brian Anhalt

Brian D. Anhalt

Associate

Ellen Drought

Ellen R. Drought

Shareholder

Carol Gehl

Carol A. Gehl

Shareholder

Kristen Irgens

Kristen A. Irgens

Shareholder

Michael Taibleson

Michael W. Taibleson

Special Counsel

Tom Bausch

Thomas A. Bausch

Shareholder

Yamilett Lopez

Yamilett M. Lopez

Associate

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