SEC Rules and Regulations

  • IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Across Funds to Satisfy Qualified Client Standard
  • SEC Extends No-Action Relief Regarding Compliance with the Independent Accountant Requirements Under the Custody Rule
  • IM Guidance Update Addresses Status of Investment Advisers Providing Services “at Cost” or for No Compensation

Industry Update

  • SEC’s Division of Investment Management Answers Questions Concerning Form 13F
  • Clarifying Amendments to Rule Prohibiting Loans by Commodity Pools to CPOs Go Effective

Notes from Europe: European Regulatory Developments

  • Notification of Voting Rights in EU Issuers

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.

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.

Related materials

Read the full update
Copy link to share post