Investment Management Regulatory Update - June 2016
SEC Rules and Regulations
- SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act
Industry Update
- Legal Implications of Brexit
- FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
- Partners as Employees? IRS Says Not So Fast
- Director of Enforcement Division Speaks at Securities Enforcement Forum
- SEC Chair White Speaks at Investment Company Institute’s 2016 General Meeting
Litigation
- SEC Charges Hedge Fund Manager and CIO with Disclosure Failures Relating to Allocation of Investment Opportunities
- FGIMC Settles Charges Relating to Failure to Oversee Consulting Relationships
- Blackstreet Capital and Owner Settle Charges for Acting as an Unregistered Broker and Other Advisers Act Violations
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