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QPAM Exemption Notification Deadline – Sunday, September 15, 2024

On April 2, 2024, the Department of Labor (the “DOL”) finalized its amendment to the Qualified Professional Asset Manager (“QPAM”) prohibited transaction exemption (the “QPAM Exemption”). Among the changes made to the QPAM...more

Pushing Reg S-P: SEC Adopts Amendments to Modernize and Enhance Regulation S-P

On May 16, 2024, the Securities and Exchange Commission (“SEC”) approved amendments to Regulation S-P to address unauthorized access to or use of “customer information” (a new defined term). Regulation S-P governs how...more

More Screen Time: SEC Adopts Amendments to Internet-Only Investment Adviser Exemption

On March 27, 2024, the Securities and Exchange Commission (“SEC”) announced amendments to the rule that allows internet-only investment advisers to register with the SEC (the “Rule”). The amended Rule eliminates the current...more

Federal Judge Upholds ERISA ESG Rules

On September 21, 2023, a federal court in the Northern District of Texas (the “Court”) dismissed a challenge to the Department of Labor’s 2022 Investment Duties Rule (the “Rule”) allowing fiduciaries plans under the...more

Regulatory Rule Revival: Massachusetts’ High Court Validates Heightened Broker-Dealer Fiduciary Standard

With a ruling issued on August 25, 2023, the Supreme Judicial Court of Massachusetts (the “Massachusetts Supreme Court”) revived the Massachusetts fiduciary duty rule (the “Rule”) that raises the fiduciary standard for...more

Three Takeaways from the Investment Management Conference

Members of our Investment Management team attended the Investment Management Conference hosted by the Investment Company Institute last month, one of the marquee gatherings for investment management professionals, board...more

Mind your P’s and P’s – SEC Settles Enforcement Action Related to ESG Policies and Procedures

The Securities and Exchange Commission (the “SEC”) has again set its sights on registrants’ environmental, social, and governance (“ESG”)-related investing. In another major action against registrants involving ESG-related...more

The Reports, They Are A-Changin’ – SEC Adopts Final Rules to Revamp Shareholder Reports

On October 26, 2022, the Securities and Exchange Commission (the “SEC”) adopted final rule and form amendments (the “Rules”) updating the annual and semi-annual shareholder reports (collectively, “Reports”) that mutual funds,...more

What’s in a Name? SEC Proposes Amendment to Names Rule for Investment Companies

On May 25, 2022, the Securities and Exchange Commission (the “SEC”) announced proposed amendments (the “Proposal”) to Rule 35d-1 under the Investment Company Act of 1940 (the “Names Rule”), aimed at modernizing the Names Rule...more

SEC Boosts its Bandwidth, Nearly Doubles the Size of the Division of Enforcement’s Crypto Assets and Cyber Unit

On May 3, 2022 the Securities and Exchange Commission (the “SEC”) announced the addition of 20 new positions to the Division of Enforcement’s newly renamed Crypto Assets and Cyber Unit (formerly known as the Cyber Unit),...more

SEC's Division of Examinations Releases 2022 Examination Priorities

Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing, reviewing, and updating their compliance...more

Man the Cyber Forts! – SEC Proposes New Cybersecurity Regulations for RIAs and Funds

With cybersecurity incidents increasing in frequency and notoriety, the Securities and Exchange Commission (the “SEC”) has set its sights on fortifying cybersecurity regulations across the entire financial industry, including...more

SEC Proposes Enhanced Proxy Voting Disclosures for Investment Funds and Institutional Investment Managers

With the stated goal of making it easier for investors to identify votes of interest and compare and analyze voting records, on September 29, 2021, the SEC released a proposed rule and amendments to Form N-PX (collectively,...more

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