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Investment Management Legal and Regulatory Update - October 2022

October 14, 2022
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Latest Developments

  • SEC Publishes Draft FY22-26 Strategic Plan for Public Comment

Latest Developments: Advisers

  • SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule
  • SEC Requests Information and Comment on Whether Index Providers, Model Portfolio Providers and Pricing Services Are Acting as Investment Advisers
  • SEC Staff Bulletin Addresses Standards of Conduct for Broker-Dealer and Investment Adviser Conflicts of Interest

Latest Developments: Funds

  • Industry Comments on SEC’s Proposed ESG Disclosure Rule and Names Rule Amendments 

Latest Developments: Enforcement

  • SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

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