Investment Management Legal and Regulatory Update - January 2024
Investment Management Legal and Regulatory Update - January 2024
Authored By
Brian D. Anhalt
Associate
Thomas A. Bausch
Shareholder
Ellen R. Drought
Shareholder
Carol A. Gehl
Shareholder
Kristen A. Irgens
Shareholder
Yamilett M. Lopez
Associate
Michael W. Taibleson
Special Counsel
Practices
Latest Developments
- SEC Announces 2024 Examination Priorities
- SEC Announces Enforcement Results for Fiscal Year 2023
Latest Developments: Advisers
- SEC Amends Rules Governing Beneficial Ownership Reporting
- SEC Publishes 38 New FAQs on Form ADV
- DOL Proposes New Definition of Investment Advice Fiduciary and Amendments to PTE 2020-02
- Department of Treasury to Repropose AML Rule for Certain Advisers
Litigation/Enforcement Actions
- Supreme Court review of Fifth Circuit decision in Jarkesy v. United States
Authored By
Brian D. Anhalt
Associate
Thomas A. Bausch
Shareholder
Ellen R. Drought
Shareholder
Carol A. Gehl
Shareholder
Kristen A. Irgens
Shareholder
Yamilett M. Lopez
Associate
Michael W. Taibleson
Special Counsel
Practices
Recent News
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