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Investment Management Legal and Regulatory Update - January 2023

January 11, 2023
30 minute read
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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

Recent News

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