Investment Management Legal and Regulatory Update - July 2024
Investment Management Legal and Regulatory Update - July 2024
Authored By
Practices
Latest Developments
- SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
Latest Developments: Advisers
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SEC’s Private Fund Adviser Rules Struck Down by the Fifth Circuit
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SEC Risk Alert Regarding Advisers Act Marketing Rule Compliance and Enforcement Actions
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The New DOL Fiduciary Rule
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DOL Finalizes Changes to the QPAM Exemption
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SEC and FinCEN Propose CIP Requirements for Advisers
Litigation/Enforcement Actions
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Supreme Court Limits SEC In-House Enforcement Authority in SEC v. Jarkesy
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SEC Obtains Jury Verdict in “Shadow Trading” Insider Trading Case
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SEC Enforcement Action Against RIA Relating to Off-Channel Communications
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SEC Enforcement Action Against Adviser for “Pay-to-Play” Rule Violations
Other News of Interest
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Federal Ban of Effectively all Existing and Future Non-Competes
Compliance Reminders
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T+1 Settlement Cycle | Compliance Impact on Advisers
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Form N-PX Filing | Compliance Reminders for Investment Companies and Advisers Filing Form 13F
Authored By
Practices
Recent News
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