Investment Management Regulatory Update - January 2013
SEC Rules and Regulations
- SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives
- SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
- Annual Affirmation Requirement for Certain Exempt CPOs and CTAs
- Bill to Merge SEC and CFTC Introduced in the House of Representatives
Litigation
- District Court Dismisses ICI and Chamber of Commerce Challenge to CFTC Amendments Affecting Registered Investment Companies
- SEC Settles Charges Against a Business Development Company and Its Executives for Overvaluing Assets and for Internal Control Failures
- SEC Settles Charges Against Investment Adviser for Misleading Use of Hypothetical Back-Tested Performance Models
This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.
Copy link to share post