This issue of Investment Management Legal + Regulatory Update discusses several current developments, including:
- Next on the SEC’s Regulatory Agenda: A Chief Valuation Officer?
- FinCEN Finalizes Customer Due Diligence Rule for Legal Entity Customers
- SEC Proposes Business Continuity and Transition Rules for Advisers While Staff Publishes Similar Guidance for Funds
- The Metaphysics of Systemic Risk
- SEC Chair White to FSOC: We’re On It
- SEC Eases Regulatory Burden for Listing Actively Managed ETFs
- SEC Staff Throws Funds a Lifeline on Auditor Independence (For Now)
- FINRA Study: Investors Lack Financial Literacy
- FINRA Proposes Initial Round of Amendments to Communications Rules
- Spotlight on BDCs
- OCIE Launches Share Class Initiative
- And more…
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