Skip to Search
Skip to Main Content
Main Content

 

News & Publications

 

Godfrey & Kahn Updates

 

Press Room

Announcement

Investment Management Legal and Regulatory Update - January 2020

January 15, 2020

Download this quarter’s edition of the Investment Management Legal and Regulatory Update to read about the following topics:

LATEST DEVELOPMENTS 

  • SEC Announces 2020 Examination Priorities

LATEST DEVELOPMENTS: FUNDS

  • OCIE Issues Risk Alert Regarding Compliance Topics Observed in Investment Company Examinations
  • SEC Proposes New Rules Governing the Use of Derivatives by Registered Investment Companies and Financial Intermediary Sales Practices
  • SEC Proposes Rule for Expedited 1940 Act Exemptive Relief

LATEST DEVELOPMENTS: ADVISERS

  • SEC Proposes Amendments to the "Accredited Investors" Defintion
  • SEC Proposes Rules Regarding Proxy Voting Advice and Shareholder Approvals; ISS Sues SEC
  • SEC Proposes Amendments to Modernize Advertising and Cash Solicitation Rules
  • Update on the California Consumer Privacy Act: Important Exemptions for Financial Services Companies
  • SEC Issues FAQ on Disclosure of Certain Financial Conflicts Related to Compensation
  • Form CRS: Upcoming Deadline and FAQs

COMPLIANCE DATES FOR FINAL RULES

  • Amendments to Form N-CEN Associated with Liquidity Rule
  • Amendments to the Certification Requirements of Form N-CSR
  • Investment Company Reporting Modernization: New Form N-PORT
  • Rescission of Form N-Q
  • Form N-1A
  • FAST Act Amendments Impacting Registration Statement and N-CSR Filings
  • Form CRS; Client Relationship Summary

Download the Update

Media Contact 

If you have a media request or need an attorney with particular knowledge for comment, please contact Kyle Mondy, Marketing & Communications Manager, at 414.287.9481 or kmondy@gklaw.com.

Subscribe.

Subscribe today to receive firm newsletters and blogs, client updates, seminar announcements, and more according to your preferences and areas of interest.

Recent Updates

Please wait while we gather your results.

Recent News

Please wait while we gather your results.

Disclaimer and Legal Notices

Copyright © 2019 Godfrey & Kahn, S.C.

Attorneys at Law - All rights reserved.

 

Client Login

 

top