Investment Management Legal and Regulatory Update - January 2020
January 15, 2020
View as PDFInvestment Management Legal and Regulatory Update - January 2020
January 15, 2020
View as PDFAuthored By
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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
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