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Investment Management Legal and Regulatory Update - October 2023

October 9, 2023
27 minute read
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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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