June 20, 2021

Volume XI, Number 171

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Investment Management Legal and Regulatory Update - April 2020

LATEST DEVELOPMENTS

  • SEC Extends Time Periods of Regulatory Relief for Funds and Advisers Impacted by Coronavirus

    • Relief for Registered Investment Companies

    • Relief for Investment Advisers and Exempt Reporting Advisers

  • SEC Staff Grants Temporary Liquidity Relief to Mutual Funds

  • OCIE Publishes Observations on Cybersecurity and Resiliency Practices

  1. Governance and Risk Management

  2. Access Rights and Controls

  3. Data Loss Prevention

  4. Mobile Security

  5. Incident Response and Resiliency

  6. Vendor Management

  7. Training and Awareness

  • SEC Requests Comment on Fund Names Rule

  • SEC Staff Issues Updated FAQs on Form CRS and Regulation Best Interest

LITIGATION/ENFORCEMENT ACTIONS

  • Adviser charged by the SEC with Failing to Maintain Adequate Controls for Material Nonpublic Information

COMPLIANCE DATES FOR FINAL RULES

  • Investment Company Reporting Modernization: New Form N PORT (As Amended)

  • Rescission of Form N-Q

  • Form N-1A

  • FAST Act Amendments Impacting Registration Statement and N-CSR Filings

  • Form CRS, Client Relationship Summary

Copyright © 2021 Godfrey & Kahn S.C.National Law Review, Volume X, Number 99
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About this Author

Chris Cahlamer Investment Management Attorney
Shareholder

Chris Cahlamer is the team leader of the firm’s Investment Management Practice Group, where he practices in investment management and securities law, focusing on investment companies, investment advisers, regulatory examinations, new product development, SEC compliance and reporting obligations, CCO support, private fund formation and operation, investment company reorganizations, investment advisor mergers and acquisitions, and general corporate and board fiduciary issues.

Chris earned his law degree, summa cum laude, at Marquette University Law School. While there, he...

414-287-9338
Susan Hoaglund, Investment Management Attorney, Godfrey Kahn law firm
Member

Susan Hoaglund is a member of the Investment Management Practice Group. Susan provides advice to investment advisers, investment companies, broker-dealers and banks regarding legal, regulatory and compliance matters.

262-951-7136
Pamela M. Krill, Godfrey Kahn, Investment management lawyer, Stock Exchanges Attorney

Pam Krill is an attorney in the firm’s Investment Management Practice Group. She practices securities and corporate law with particular emphasis on investment adviser/ investment company regulation, SEC compliance and reporting, and representation before the SEC, various stock exchanges and the state securities commissions.

In over 20 years of practicing law, Pam has gained substantial experience working with investment advisers and investment companies, counseling these clients on a wide range of legal issues, including federal and state...

608.284.2226
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