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Investment Management Legal and Regulatory Update - October 2020

October 13, 2020
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Investment Management Legal and Regulatory Update - October 2020

October 13, 2020
View as PDF

Authored By

Ellen Drought

Ellen R. Drought

Shareholder

Carol Gehl

Carol A. Gehl

Shareholder

Sarah Sargent

Sarah A. Sargent

Shareholder

Practices

Investment Management

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 

Authored By

Ellen Drought

Ellen R. Drought

Shareholder

Carol Gehl

Carol A. Gehl

Shareholder

Sarah Sargent

Sarah A. Sargent

Shareholder

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Practices

Investment Management

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