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Davis Polk: Investment Management Regulatory Update

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Investment Management Regulatory Update

Davis Polk
December 20, 2012
12 pages

In this Issue:

SEC Rules and Regulations

SEC Staff Responds to Questions About Form PF
SEC Releases Guidance on Advisers Act Exemption for CFTC-Registered Investment Advisers that Advise Private Funds
SEC Adopts New Credit Quality Standard for BIDCOs Relying on Section 6(a)(5) of the Investment Company Act
SEC Announces List of Federal Securities Law Rules to be Reviewed Over the Next 12 Months

Industry Update

CFTC Grants Registration Relief for Family Offices, Funds of Funds and Business Development Companies
FSOC Issues Proposed Recommendations for Money Market Mutual Fund Reform
Director of the OCIE Speaks on the Significance of Conflicts of Interest and Risk Governance
FINRA Announces Arbitration for Investment Advisers that are not FINRA-Regulated Firms

Litigation

Court Ruling Addresses Pension “Controlled Group” Liability for Private Equity Funds
Jury Issues Mixed Verdict in Reserve Primary Fund Trial
SEC Charges Mutual Fund Directors for Inadequate Valuation Oversight

Registered Funds & Broker-Dealers

Dechert: SEC Targets Another Fund Board in Recent Enforcement Case

May 23, 2013 SEC Enforcement Actions

Gibson Dunn: Obama Administration's Fiscal Year 2014 Revenue Proposal Would Facilitate Investment in U.S. Real Property by Foreign Pension Funds

May 23, 2013 REITs & Real Estate Funds

Ropes & Gray: SEC Issues IM Guidance Update on Compliance with Exemptive Orders

May 22, 2013 SEC Enforcement Actions