Investment Management Regulatory Update - November 2015
SEC Rules and Regulations
- SEC Grants No-Action Relief to BlackRock Funds for Filing Post-Effective Amendments to Their Registration Statements
- SEC Grants No-Action Relief Relating to Bank Collective Trusts’ Investment in Insurance Company Separate Accounts Relying on the Section 3(c)(11) Exemption from the Investment Company Act
Industry Update
- Office of Compliance Inspections and Examinations Issues NEP Risk Alert on Outsourced CCOs
- SEC Chair Mary Jo White Discusses Regulation of Private Fund Advisers
- SEC Chief of Staff Andrew J. Donohue Addresses NRS Conference on the Role of Compliance Professionals
- SEC Releases Private Funds Statistics Report
- CFTC Responds to FAQs Regarding Form CPO-PQR
- ILPA Proposes Fee Reporting Template for Public Comment
Litigation
- SEC Charges UBS Advisory Firms for Failing to Disclose Change in Investment Strategy
- SEC Charges Affiliated Broker-Dealer and Investment Adviser with Failing to Prevent Misuse of Material Nonpublic Information
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