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Client Alert

Investment Management Legal and Regulatory Update - January 2022

January 21, 2022

Latest Developments: Funds

  • SEC Issues Risk Alert Relating to Examination Initiatives Focused on Registered Investment Companies

Latest Developments: Advisers

  • SEC Issues Risk Alert on Advisory Fee Calculations
  • SEC Staff Issues Statement on Form CRS Disclosures

Other Developments

  • SEC Staff Statement on LIBOR Transition – Key Considerations for Market Participants
  • SEC Announces William Birdthistle as Director of Division of Investment Management
  • SEC Continues to Focus on Cryptocurrency

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