Investment Management Legal and Regulatory Update - April 2023
Investment Management Legal and Regulatory Update - April 2023
Authored By
Emily R. Enslow
Special Counsel
Carol A. Gehl
Shareholder
Emma L. Janicki
Associate
Pamela M. Krill
Shareholder
Practices
Latest Developments
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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
Authored By
Emily R. Enslow
Special Counsel
Carol A. Gehl
Shareholder
Emma L. Janicki
Associate
Pamela M. Krill
Shareholder
Practices
Recent News
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