Investment Management Regulatory Update - August 2017
Rules and Regulations
- SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms
- SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
- SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings
Industry Update
- SEC Chairman Discusses Guiding Principles, Priorities in First Public Speech since Taking Office
- SEC Releases Results of Audit of OCIE’s Investment Adviser Examination Completion Process
- SEC Commissioner Publishes Comment Letter Criticizing DOL Fiduciary Rule
- DOL Takes Steps to Delay Certain Aspects of Fiduciary Rule, but Key Rules for Funds Remain
- ILPA’s Letter to Treasury on Private Equity Regulation
Litigation
- SEC Charges Adviser with Failing to Register as Investment Adviser and Inflating Asset Valuations, among Other Violations
- SEC Sanctions Adviser and Two Principals for Improper Asset Valuations of Private Funds
- Delaware Supreme Court’s Ruling in DFC Global Provides Important Clarity on the Role of Deal Price and the Sale Process in Appraisal Proceedings
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