Investment Management Regulatory Update - December 2014
SEC Rules and Regulations
- SEC Issues Exemptive Relief for Non-Transparent ETMFs
- SEC Staff Responds to Questions About Form PF
Industry Update
- SEC Chair Discusses Risk Monitoring and Regulatory Safeguards for Asset Management Industry
- IM Director Discusses Developments in the Variable Products Space and Division of Investment Management Guidance Updates and Initiatives
- SEC Commissioner Addresses Issues of Transparency in Municipal Securities, Private Equity Markets and Exchange Traded Funds
- Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability
- SEC Plans Several Initiatives Focused on Investment Funds and Advisers in 2015
- CFTC Issues No-Action Relief from Registration as Commodity Trading Advisors for Family Offices
- Chancellor of the Exchequer Discusses Changes in Private Equity Taxation
Litigation
- SEC Grants Exemption from Rule 506(d) Disqualification
- SEC Charges HSBC’s Swiss Private Banking Unit with Providing Unregistered Services to U.S. Clients
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