Investment Management Regulatory Update - February 2018
Rules and Regulations
- SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trusts as Qualifying Interests in Real Estate
- SEC Extends Compliance Date for 1940 Act Liquidity Rule’s Liquidity Classification Requirement
Industry Update
- SEC’s National Examination Program Releases Examination Priorities for 2018
- SEC Releases Diversity Assessment Tool for SEC Regulated Entities
Litigation
- SEC Charges Fund Administrator with Fraudulent NAV Calculation
- SEC Charges Investment Adviser and Principals for Risk Disclosure Failures
- Investment Adviser Settles SEC Charges Relating to Undisclosed Principal Trades
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