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Client Alert

Investment Management Legal and Regulatory Update - April 2021

April 8, 2021

Latest Developments

  • SEC Announces 2021 Examination Priorities

Latest Developments: Funds

  • SEC Issues Statement and FAQ on Cross Trading
  • SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

Latest Developments: Advisers

  • Final DOL Exemption and Guidance on Fiduciary Investment Advice in Connection with Rollover Recommendations
  • SEC Publishes New Form CRS FAQs
  • Securities Investments that Finance Communist Chinese Military Companies
  • Division of Examinations Publishes Risk Alert Regarding Continued Focus on Digital Asset Securities

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