Investment Management Regulatory Update - April 2015
SEC Rules and Regulations
- SEC Adopts Final Regulation A+ Rules
- SEC Grants No-Action Relief From Section 206(4) to 16th Amendment Advisors LLC
- SEC Grants No Action Relief from Sections 12(d)(1)(A) and (B) and 17(a) of the Investment Company Act to Franklin Templeton Investments
Industry Update
- Division of Corporation Finance Issues Policy Statement on Granting Disqualification Waivers under Regulation A and Rules 505 and 506 of Regulation D
- Acting Director of the Division of Investment Management Discusses Enhanced Data Reporting and Portfolio Composition Risks
- Acting Director of the Division of Investment Management Discusses Enhanced Data Reporting, Transition Plans and Stress Testing
Litigation
- SEC Announces Fraud Charges Against Investment Advisers Accused of Concealing Poor Performance of CLO Funds
- SEC Announces Enforcement Action Against Restrictive Language in Confidentiality Agreements
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