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Investment Management Legal and Regulatory Update - April 2023

April 10, 2023
30 minute read
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Latest Developments

  • SEC Publishes 2023 Examination Priorities

Latest Developments: Advisers

  • SEC Proposes Changes to the Custody Rule
  • SEC Proposes Enhancements to Regulation S-P
  • SEC Risk Alert Highlights Deficiencies in Regulation Best Interest Compliance
  • Reminder: Wisconsin Continuing Education Requirements in Effect for 2023 for Investment Adviser Representatives

Latest Developments: FUNDS

  • SEC Staff Bulletin Addresses Advisory Fee Waivers

Litigation and Enforcement Actions

  • Court Vacates DOL Interpretation of "Regular Basis" in Rollover Suit

Compliance Dates for Final Rules

Status of Proposed Rules

Recent News

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