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Investment Management Legal and Regulatory Update - April 2021

April 8, 2021
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Investment Management Legal and Regulatory Update - April 2021

April 8, 2021
View as PDF

Authored By

Chris Cahlamer

Christopher M. Cahlamer

Shareholder

Pamela Krill

Pamela M. Krill

Shareholder

Michael Taibleson

Michael W. Taibleson

Special Counsel

Practices

Employee Benefits

Investment Management

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

Chris Cahlamer

Christopher M. Cahlamer

Shareholder

Pamela Krill

Pamela M. Krill

Shareholder

Michael Taibleson

Michael W. Taibleson

Special Counsel

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