Investment Management Legal and Regulatory Update - October 2024
Investment Management Legal and Regulatory Update - October 2024
Authored By
Carol A. Gehl
Shareholder
Emma L. Janicki
Associate
Kathryne E. Keough
Associate
Pamela M. Krill
Shareholder
Practices
Latest Developments: Funds
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SEC Amends Forms N-PORT and N-CEN and Provides Liquidity Risk Management Program Guidance
Latest Developments: Advisers
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SEC Sweep Exam on Adviser T+1 Compliance
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DOL Fiduciary Rule Stayed
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FinCEN Issues Final Rule on AML Program for Investment Advisers
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SEC Will Not Seek En Banc Review of Private Fund Rules
Litigation/Enforcement Actions
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SEC Persists in Off-Channel Communication Enforcement as Total Fines Exceed $2 Billion
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SEC Charges Pay-To-Play Violation
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Transfer Agent Charged for Failing to Protect Client Funds from Cyber Attacks
Other News of Interest
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Federal Ban of Non-Competes Held Unlawful by Federal Court
Authored By
Carol A. Gehl
Shareholder
Emma L. Janicki
Associate
Kathryne E. Keough
Associate
Pamela M. Krill
Shareholder
Practices
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