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Client Alert

Investment Management Legal and Regulatory Update - January 2021

January 21, 2021

Latest Developments: Funds

  • SEC Adopts New Fair Value Rule
  • Virtual Meetings of Fund Boards
  • SEC Adopts Derivatives Risk Management Rule
  • SEC Adopts New Fund of Funds Rule

Latest Developments: Advisers

  • SEC Adopts Modernized Marketing Rule
  • DOL Issues New Exemption for Investment Advice Fiduciaries
  • Risk Alert Regarding Compliance Programs

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