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Investment Management Legal and Regulatory Update - October 2020

October 13, 2020

Latest Developments: Funds

  • SEC Proposes to Modernize Fund Shareholder Reports and Disclosures 
  • Great-West Prevails Against 401(k) Investors in Excessive Fee Litigation

Latest Developments: Advisers

  • SEC Adopts Rule Amendments Governing Proxy Solicitations
  • SEC Modernizes Accredited Investor Definition
  • OCIE Issues Risk Alert Regarding COVID-19 Compliance Risks and Considerations for Advisers 
  • OCIE Issues Risk Alert Regarding Ransomware 
  • Updates on the California Consumer Privacy Act: Enforcement Efforts, Finalized Regulations and New Initiatives 


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