Investment Management Regulatory Update - April 2012
SEC Rules and Regulations
- SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Industry Affiliations
- SEC Staff Issues Guidance on Issues of Interest to Investment Advisers and Investment Companies
- Upcoming Deadline for Compliance with Pay-to-Play Rule’s Prohibition on Payments to Certain Third-Party Solicitors
Industry Update
- The STOCK Act Is Enacted, Banning Insider Trading by Government Officials
- FSOC Adopts Final Rule on Designation of Systemically Important Nonbank Financial Companies and the Federal Reserve Proposes Rule on Whether Companies Are “Predominantly Engaged in Financial Activities”
- CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
- SEC Enters Into Memoranda of Understanding with Cayman Islands and European Regulatory Counterparts
Litigation
- ICI and Chamber of Commerce Challenge CFTC Amendments Restricting the Exclusion from CPO Registration for Advisers to RICs
- SEC Charges Two Investment Advisers and a Broker-Dealer with Fraud for Misleading Fund Investors in connection with Secondary Market Trading of Pre-IPO Shares
- U.S. Supreme Court Holds that the Section 16(b) Short-Swing Liability Statute of Limitations is Not Tolled by an Insider’s Failure to File a Section 16(a) Disclosure Report
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