Investment Management Regulatory Update - January 2014
SEC Rules and Regulations
- SEC Releases Additional Rule 506 “Bad Actor” Guidance
- IM Guidance Update Clarifies Exclusion from Investment Company Act for Charitable Investment Funds
Industry Update
- SEC’s National Examination Program Releases its Examination Priorities for 2014
- CFTC Provides Guidance on Cross-Border Application of Swap Regulations and Provides Temporary Relief for Non-U.S. Swap Dealers from Swap Data Reporting Requirements
Notes from Europe: European Regulatory Developments
- UK: AIFMD Transitional Arrangements Update
- European Commission Adopts Delegated Regulation on Determining Whether an AIF Manager is Managing an Open-Ended or Closed-Ended AIF
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