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Investment Management Legal and Regulatory Update - April 2023

April 10, 2023
30 minute read
View as PDF

Investment Management Legal and Regulatory Update - April 2023

April 10, 2023
30 minute read
View as PDF

Authored By

Emily Enslow

Emily R. Enslow

Special Counsel

Carol Gehl

Carol A. Gehl

Shareholder

Emma Janicki

Emma L. Janicki

Associate

Pamela Krill

Pamela M. Krill

Shareholder

Practices

Investment Management

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

Authored By

Emily Enslow

Emily R. Enslow

Special Counsel

Carol Gehl

Carol A. Gehl

Shareholder

Emma Janicki

Emma L. Janicki

Associate

Pamela Krill

Pamela M. Krill

Shareholder

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