Investment Management Regulatory Update - May 2019
Rules and Regulations
- SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Adviser for a Period of Time Without a Majority Vote
Industry Update
- Chairman Jay Clayton Provides Remarks at the “SEC Speaks” Conference
- Commissioner Peirce Speaks at SEC Speaks: SECret Garden
- How We Protect Retail Investors: Director of OCIE Speaks at NRS Spring 2019 Compliance Conference
Litigation
- SEC Settles with Investment Adviser for Material Omissions in Disclosures to Private Banking Clients
- D.C. Circuit: “Willful” Violations Require Evidence of Intentional Conduct
- SEC Settles with Corinthian Capital Group, LLC, its CEO and CFO for Alleged Misuse of Private Equity Fund’s Assets to Benefit Corinthian and Its Principals
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