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Investment Management Legal and Regulatory Update - October 2019

October 21, 2019

Download this quarter’s edition of the Investment Management Legal and Regulatory Update to read about the following topics:

LATEST DEVELOPMENTS: FUNDS

  • SEC Encourages Funds to Review Performance and Fee Disclosures
  • SEC Provides Recommendations to Improve Principal Risks Disclosure
  • SEC Modernizes the Approval Framework for Exchange-Traded Funds

LATEST DEVELOPMENTS: ADVISERS

  • SEC Provides Guidance Regarding Advisers’ Proxy Voting Responsibilities
  • OCIE Issues Risk Alert Regarding Principal and Agency Cross Trading
  • OCIE Issues Risk Alert Relating to Oversight of Supervised Persons with Disciplinary Histories and General Compliance and Supervision Issues

LITIGATION

  • Second Circuit Finds Private Right of Action under Section 47(b) of the Investment Company Act
  • Regulation Best Interest Litigation
  • Courts Reject Mutual Fund Excessive Fee Claims Following Trials

COMPLIANCE DATES FOR FINAL RULES

  • Liquidity Risk Management Programs (Rule 22e-4)
  • Form N-LIQUID
  • Amendments to Form N-CEN Associated with Liquidity Rule
  • Amendments to the Certification Requirements of Form N-CSR
  • Investment Company Reporting Modernization: New Form N-PORT
  • Rescission of Form N-Q
  • Form N-1A
  • FAST Act Amendments Impacting Registration Statement and N-CSR Filings
  • Form CRS, Client Relationship Summary

Download the Update

 

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