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Investment Management Legal and Regulatory Update - January 2020

January 15, 2020
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Download this quarter’s edition of the Investment Management Legal and Regulatory Update to read about the following topics:

LATEST DEVELOPMENTS 

  • SEC Announces 2020 Examination Priorities

LATEST DEVELOPMENTS: FUNDS

  • OCIE Issues Risk Alert Regarding Compliance Topics Observed in Investment Company Examinations
  • SEC Proposes New Rules Governing the Use of Derivatives by Registered Investment Companies and Financial Intermediary Sales Practices
  • SEC Proposes Rule for Expedited 1940 Act Exemptive Relief

LATEST DEVELOPMENTS: ADVISERS

  • SEC Proposes Amendments to the "Accredited Investors" Defintion
  • SEC Proposes Rules Regarding Proxy Voting Advice and Shareholder Approvals; ISS Sues SEC
  • SEC Proposes Amendments to Modernize Advertising and Cash Solicitation Rules
  • Update on the California Consumer Privacy Act: Important Exemptions for Financial Services Companies
  • SEC Issues FAQ on Disclosure of Certain Financial Conflicts Related to Compensation
  • Form CRS: Upcoming Deadline and FAQs

COMPLIANCE DATES FOR FINAL RULES

  • Amendments to Form N-CEN Associated with Liquidity Rule
  • Amendments to the Certification Requirements of Form N-CSR
  • Investment Company Reporting Modernization: New Form N-PORT
  • Rescission of Form N-Q
  • Form N-1A
  • FAST Act Amendments Impacting Registration Statement and N-CSR Filings
  • Form CRS; Client Relationship Summary

Download the Update

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