Investment Management Regulatory Update – July 2016
SEC Rules and Regulations
- SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans
Industry Update
- SEC Division of Investment Management Publishes Business Continuity Guidance for Registered Investment Companies
- Financial Stability Board Releases Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities
- SEC’s Office of the Investor Advocate Releases Report on Objectives for Fiscal Year 2017
Litigation
- Private Fund Administrator Settles Charges for Gatekeeper Failures
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