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You are here: SEC & Securities Law Registered Investment Funds Davis Polk: Investment Management Regulatory Update

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DavisPolkLogoInvestment Management Regulatory Update

Davis Polk
November 27, 2012
9 pages

In this Issue:
SEC Rules and Regulations

  • SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients

Industry Update

  • SEC Announces Presence Exams of Newly Registered Investment Advisers
  • Additional Guidance Extends FATCA Deadlines and Expands the Scope of “Grandfathered” Obligations
  • Investor Advisory Committee Submits Recommendations to the SEC on the SEC’s Proposal to Eliminate the General Solicitation Ban
  • SEC Staff Issues Report on Authority to Enforce the Anti-Evasion Rule Under Section 12(g) of the Exchange Act
  • NFA Waives Series 3 Proficiency Exam Requirement for Associated Persons of Certain Registered CPOs and CTAs
  • Speech by SEC Chairman on New Technology Initiatives to Detect Suspicious Trading


  • SEC Charges Hedge Fund Adviser and Two Executives in Continuing Probe of Suspicious Fund Performance

Registered Funds & Broker-Dealers