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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
January 22, 2013
6 pages

In this issue:


SEC Rules and Regulations

  • SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives
  • SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients

Industry Update

  • Annual Affirmation Requirement for Certain Exempt CPOs and CTAs
  • Bill to Merge SEC and CFTC Introduced in the House of Representatives

Litigation

  • District Court Dismisses ICI and Chamber of Commerce Challenge to CFTC Amendments Affecting Registered Investment Companies
  • SEC Settles Charges Against a Business Development Company and Its Executives for Overvaluing Assets and for Internal Control Failures
  • SEC Settles Charges Against Investment Adviser for Misleading Use of Hypothetical Back-Tested Performance Models

Registered Funds & Broker-Dealers

Baker Botts: Compliance and Enforcement Report

June 19, 2013 SEC Enforcement Actions

Morrison Foerster: SEC Slaps Fund Directors for Violating Fair Value Responsibilities

June 18, 2013 SEC Enforcement Actions

Drinker Biddle: Fiduciary implications: Using re-enrollment to improve target date fund adoption

June 14, 2013 Target Date Funds