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Investment Management Legal and Regulatory Update - October 2024

October 9, 2024
27 minute read
View as PDF

Investment Management Legal and Regulatory Update - October 2024

October 9, 2024
27 minute read
View as PDF

Authored By

Carol Gehl

Carol A. Gehl

Shareholder

Pamela Krill

Pamela M. Krill

Shareholder

Latest Developments: Funds

  • SEC Amends Forms N-PORT and N-CEN and Provides Liquidity Risk Management Program Guidance

Latest Developments: Advisers

  • SEC Sweep Exam on Adviser T+1 Compliance

  • DOL Fiduciary Rule Stayed

  • FinCEN Issues Final Rule on AML Program for Investment Advisers

  • SEC Will Not Seek En Banc Review of Private Fund Rules

Litigation/Enforcement Actions

  • SEC Persists in Off-Channel Communication Enforcement as Total Fines Exceed $2 Billion

  • SEC Charges Pay-To-Play Violation

  • Transfer Agent Charged for Failing to Protect Client Funds from Cyber Attacks

Other News of Interest

  • Federal Ban of Non-Competes Held Unlawful by Federal Court

 

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