Rules and Regulations

  • Proposed Amendments to the Volcker Rule

  • SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Person Meeting

Industry Update

  • SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resiliency Practices

  • SEC Commissioner Hester M. Peirce Delivers Speech Detailing Her Token Safe Harbor Proposal

Litigation

  • SEC Settles Charges against Investment Adviser and CEO for Alleged Misrepresentations regarding Risk Management Policies

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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