Investment Management Regulatory Update - March 2015
SEC Rules and Regulations
- SEC Extends Rule 482 No-Action Position to Certain Information Furnished to Participants and Beneficiaries in Certain Non-ERISA Retirement Savings Plans
Industry Update
- Interagency Volcker Rule FAQ Addresses Scope of U.S. Marketing Restrictions under SOTUS Covered Fund Exemption
- IM Guidance Update regarding Gifts and Entertainment
- SEC Commissioner Discusses Prudential Regulators and Mutual Funds at 2015 Mutual Funds and Investment Management Conference
- Co-Chief of Asset Management Unit Discusses Enforcement Priorities, Conflicts of Interest at IA Compliance Conference
- SEC Commissioner Opposes Use of Bad Actor Disqualifications as Enforcement Tool
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