Skip to Content
Main Content

Investment Management Legal and Regulatory Update - April 2020

April 8, 2020
View as PDF

Investment Management Legal and Regulatory Update - April 2020

April 8, 2020
View as PDF

Authored By

Pamela Krill

Pamela M. Krill

Shareholder

Latest developments

  • SEC Extends Time Periods of Regulatory Relief for Funds and Advisers Impacted by Coronavirus
    • Relief for Registered Investment Companies
    • Relief for Investment Advisers and Exempt Reporting Advisers
  • SEC Staff Grants Temporary Liquidity Relief to Mutual Funds
  • OCIE Publishes Observations on Cybersecurity and Resiliency Practices
  1. Governance and Risk Management
  2. Access Rights and Controls
  3. Data Loss Prevention
  4. Mobile Security
  5. Incident Response and Resiliency
  6. Vendor Management
  7. Training and Awareness
  • SEC Requests Comment on Fund Names Rule
  • SEC Staff Issues Updated FAQs on Form CRS and Regulation Best Interest

Litigation/Enforcement Actions

  • Adviser charged by the SEC with Failing to Maintain Adequate Controls for Material Nonpublic Information

Compliance Dates for final rules

  • Investment Company Reporting Modernization: New Form N PORT (As Amended)
  • Rescission of Form N-Q
  • Form N-1A
  • FAST Act Amendments Impacting Registration Statement and N-CSR Filings
  • Form CRS, Client Relationship Summary

Recent News

Join Our Mailing List

Need to stay current on the latest news, trends and regulatory issues impacting your business? Subscribe today! We know your time is valuable, so we limit our communications to only the most pertinent info you need to stay informed.