SEC Rules and Regulations

  • Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule

Industry Update

  • SEC Division of Investment Management Issues Guidance on “Robo-Advisors”

  • IM Guidance Update Cautions Investment Advisers Regarding Inadvertent Custody under the Custody Rule

  • OCIE Announces Five Most Frequent Compliance Topics Identified during Examinations of Investment Advisers

  • SEC Staff Issues Responses to Frequently Asked Questions Relating to Mutual Fund Fees Guidance Update

  • Department of Labor Proposes 60-Day Delay of Fiduciary Rule Applicability

Litigation

  • Large Financial Institution Settles Charges Related to Failure to Implement Policies Surrounding Inverse ETFs

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

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