Investment Management Legal and Regulatory Update - October 2020
October 13, 2020
View as PDFInvestment Management Legal and Regulatory Update - October 2020
October 13, 2020
View as PDF
Practices
Latest Developments: Funds
- SEC Proposes to Modernize Fund Shareholder Reports and Disclosures
- Great-West Prevails Against 401(k) Investors in Excessive Fee Litigation
Latest Developments: Advisers
- SEC Adopts Rule Amendments Governing Proxy Solicitations
- SEC Modernizes Accredited Investor Definition
- OCIE Issues Risk Alert Regarding COVID-19 Compliance Risks and Considerations for Advisers
- OCIE Issues Risk Alert Regarding Ransomware
- Updates on the California Consumer Privacy Act: Enforcement Efforts, Finalized Regulations and New Initiatives
Recent News
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