SEC Rules and Regulations

  • SEC Issues No Action Relief to Business Development Company Structured as Master-Feeder

Industry Update

  • Interagency Volcker Rule FAQ #16 Addresses Treatment of RICs and FPFs as Banking Entities During Their Seeding Period

Litigation

  • SEC Charges Deloitte with Auditor Independence Violations
  • SEC Charges Investment Advisory Firm with Fraudulent Valuation Scheme
  • SEC Charges Registered Investment Adviser for Failure to Adequately Disclose Conflict of Interest Relating to Compensation Arrangements

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.

Related materials

Read the full update
Copy link to share post