Investment Management Regulatory Update - February 2013
SEC Rules and Regulations
- SEC Issues Guidance on New Iran Disclosure Requirements
- SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform Customer Identification Program Obligations
Industry Update
- European Commission Adopts AIFMD Level 2 Regulations
- FinCEN Extends FBAR Filing Deadline for Certain Employees and Officers
- SEC Official Discusses Enforcement Priorities in the Private Fund Space
- SEC Expected to Move Forward with Uniform Fiduciary Standard
Litigation
- First Circuit Considers Current and Prospective Business Relationships When Evaluating Independence of Fund Directors in Shareholder Derivative Cases
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