SEC Rules and Regulations

  • SEC Focused on Violations of Rule 105 of Regulation M
  • IM Director Discusses Current Priorities Regarding Hedge Fund Managers
  • SEC Staff Provides Guidance to BDCs Regarding Summarized Financial Statements of Subsidiaries
  • SEC Releases Final Municipal Advisor Registration Rules

Industry Update

  • CFTC Provides No-Action Relief from Certain Reporting Obligations for CPOs of Controlled Foreign Corporations Wholly-Owned by Registered Investment Companies

Litigation

  • SEC Charges Former Portfolio Manager with Misleading Chief Compliance Officer

Notes from Europe: European Regulatory Developments

  • UK AIFMD Remuneration Code Disapplication
  • European Parliament Proposes Regulation on European Long-Term Investment Funds

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.

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