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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
February 27, 2013
9 pages

In this Issue:

SEC Rules and Regulations

  • SEC Issues Guidance on New Iran Disclosure Requirements
  • SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform Customer Identification Program Obligations

Industry Update

  • European Commission Adopts AIFMD Level 2 Regulations
  • FinCEN Extends FBAR Filing Deadline for Certain Employees and Officers
  • SEC Official Discusses Enforcement Priorities in the Private Fund Space
  • SEC Expected to Move Forward with Uniform Fiduciary Standard


  • First Circuit Considers Current and Prospective Business Relationships When Evaluating Independence of Fund Directors in Shareholder Derivative Cases

Registered Funds & Broker-Dealers