Investment Management Legal and Regulatory Update - January 2023
Investment Management Legal and Regulatory Update - January 2023
Authored By
Christopher M. Cahlamer
Shareholder
Ellen R. Drought
Shareholder
Kristen A. Irgens
Shareholder
Emma L. Janicki
Associate
Michael W. Taibleson
Special Counsel
Practices
Latest Developments: Funds
Final Rules
- SEC Adopts Major Changes to Shareholder Reports and Amendments to Investment Company Advertising Rules
- SEC Adopts Rules to Enhance Proxy Voting Disclosure by Funds and Require Disclosure on “Say-on-Pay” Votes for Institutional Investment Managers
Proposed Rules
- SEC Proposes Swing Pricing and Changes to Liquidity Risk Management
Latest Developments: Advisers
- SEC Proposes New Requirements for Adviser Oversight of Service Providers
- SEC Risk Alert Highlights Weaknesses in Identity Theft Prevention Programs
- SEC Staff FAQ Relating to Adviser Consideration of DEI Factors
- DOL Issues Final ESG Investing and Proxy Voting Rules
Litigation and Enforcement Actions
- SEC Announces Enforcement Results for Fiscal Year 2022
Compliance Dates for Final Rules
Authored By
Christopher M. Cahlamer
Shareholder
Ellen R. Drought
Shareholder
Kristen A. Irgens
Shareholder
Emma L. Janicki
Associate
Michael W. Taibleson
Special Counsel
Practices
Recent News
Please wait while we gather your results.
Join Our Mailing List
Need to stay current on the latest news, trends and regulatory issues impacting your business? Subscribe today! We know your time is valuable, so we limit our communications to only the most pertinent info you need to stay informed.