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Investment Management Legal and Regulatory Update - October 2023

October 9, 2023
27 minute read
View as PDF

Investment Management Legal and Regulatory Update - October 2023

October 9, 2023
27 minute read
View as PDF

Authored By

Ellen Drought

Ellen R. Drought

Shareholder

Emily Enslow

Emily R. Enslow

Special Counsel

Carol Gehl

Carol A. Gehl

Shareholder

Pamela Krill

Pamela M. Krill

Shareholder

LATEST DEVELOPMENTS: FUNDS

  • Final Rule: Investment Company Names

LATEST DEVELOPMENTS: ADVISERS

  • Compliance Rule Amendments Require Documentation of Annual Review
  • SEC Risk Alert Highlights Criteria for Examination Selection and Scope
  • Final Rule: Private Fund Adviser Reforms
  • Proposed Rule: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Advisers 
  • Corporate Transparency Act; Reporting Requirements for Family Offices and State-Registered Advisers
  • Final Rule: Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

SEC MARKETING RULE ENFORCEMENT ACTIONS

  • SEC Settles First Marketing Rule Enforcement Action
  • SEC Charges Nine Advisers for Advertising Hypothetical Performance on Websites

 

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