Investment Management Regulatory Update - November 2014
SEC Rules and Regulations
- SEC Issues Preliminary Denial to Exemptive Relief Applications for Operation of Non-Transparent Active ETFs
Industry Update
- CFTC Announces Self-Executing Registration No-Action Relief for Certain Delegating CPOs
- SEC Investor Advisory Committee Offers Recommendations for Accredited Investor Definition
- IM Director Discusses Risk Monitoring Efforts and Alternative Mutual Funds
- IM Guidance Update Clarifies Mutual Fund Obligations for Mixed and Shared Funding Orders
- IM Guidance Update Advises Certain Investment Companies on the Presentation of Their Consolidated Financial Statements
Litigation
- SEC Announces Charges Against Investment Manager and Senior Officials for Violations of Custody Rule
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