Investment Management Regulatory Update - December 2015
SEC Rules and Regulations
- SEC Staff Grants No-Action Relief Relating to Rule 482 Requirements as Applied to Performance Information Provided by Certain Non-ERISA Retirement Plans
- SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies
Industry Update
- Director of Enforcement Addresses National Society of Compliance Professionals
Litigation
- SEC Charges Private Equity Advisers with Improper Allocation of Expenses
- SEC Charges Private Equity Firm and Four Executives with Failing to Disclose Conflicts of Interests
- SEC Charges Virtus Investment Advisers for Falsely Advertising Performance Claims
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