Investment Management Legal and Regulatory Update - April 2021
April 8, 2021
View as PDFInvestment Management Legal and Regulatory Update - April 2021
April 8, 2021
View as PDFAuthored By
Christopher M. Cahlamer
Shareholder
Pamela M. Krill
Shareholder
Michael W. Taibleson
Special Counsel
Practices
Latest Developments
- SEC Announces 2021 Examination Priorities
Latest Developments: Funds
- SEC Issues Statement and FAQ on Cross Trading
- SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Latest Developments: Advisers
- Final DOL Exemption and Guidance on Fiduciary Investment Advice in Connection with Rollover Recommendations
- SEC Publishes New Form CRS FAQs
- Securities Investments that Finance Communist Chinese Military Companies
- Division of Examinations Publishes Risk Alert Regarding Continued Focus on Digital Asset Securities
Authored By
Christopher M. Cahlamer
Shareholder
Pamela M. Krill
Shareholder
Michael W. Taibleson
Special Counsel
Practices
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