Investment Management Regulatory Update - November 2017
SEC Rules and Regulations
- SEC Proposes Amendments to Investment Company Act and Advisers Act Rules to Require Hyperlinking of Certain Filings and Modernize Rules for Incorporation by Reference
- SEC Denies No-Action Relief Under Section 17(d) and Rule 17d-1 of the Investment Company Act in Connection with Expense Allocation Between Funds
- SEC Grants No-Action Relief Permitting Credit Risk Transfer Securities to Be Treated as “Real Estate-Type Interests” Under Section 3(c)(5)(C) of the Investment Company Act
- SEC Issues No-Action Guidance Regarding MiFID II Research Provisions
Industry Update
- SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
- Treasury Department Publishes Recommendations on Regulation of Asset Management Industry
Litigation
- SEC Charges Former Partner at Investment Adviser with Fraudulently Charging Personal Expenses to Fund Clients
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