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Investment Management Legal and Regulatory Update - April 2024

April 11, 2024
13 minute read
View as PDF

Investment Management Legal and Regulatory Update - April 2024

April 11, 2024
13 minute read
View as PDF

Authored By

Chris Cahlamer

Christopher M. Cahlamer

Shareholder

Emily Enslow

Emily R. Enslow

Special Counsel

Emma Janicki

Emma L. Janicki

Associate

Carol Gehl

Carol A. Gehl

Shareholder

Kathryne Keough

Kathryne E. Keough

Associate

Practices

Investment Management

Latest Developments

  • SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management

Latest Developments: Advisers

  • FinCEN Proposes Anti-Money Laundering Rule Applicable to Certain Investment Advisers

Litigation/Enforcement Actions

  • Sixteen Firms Settle for Over $81 Million in Off-Channel Communications Recordkeeping Failures
  • SEC Charges Investment Adviser for Failing to Disclose Influencer’s Role in Promoting ETF Launch
  • SEC Approves Spot Bitcoin ETF after X Account Hack

Authored By

Chris Cahlamer

Christopher M. Cahlamer

Shareholder

Emily Enslow

Emily R. Enslow

Special Counsel

Emma Janicki

Emma L. Janicki

Associate

Carol Gehl

Carol A. Gehl

Shareholder

Kathryne Keough

Kathryne E. Keough

Associate

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Practices

Investment Management

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