Rules and Regulations

  • SEC Modernizes the Accredited Investor Definition
  • SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures

Industry Update

  • OCIE Publishes Risk Alert on Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers
  • Dalia Blass Remarks at the 2020 PLI Investment Management Institute
  • OCIE Issues Ransomware Alert

Litigation

  • Investment Advisers Settle with SEC Regarding Alleged Misrepresentations About Payments Received for Customer Order Flow
  • SEC Announces Charges Against Chief Executive Officer of Investment Adviser for Alleged “Multi-Year Effort to Fraudulently Inflate Value and Returns”
  • Investment Adviser Settles SEC Allegations of Unfair Trade Allocation and Related Compliance Failures

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.

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