Investment Management Update - Q4 2023
In This Update
Covering legal developments and regulatory news for funds, their advisers, and industry participants for the period ended December 2023.
Rulemaking and Guidance
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From the Chief Accountant, Letter to CFOs
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SEC Division of Examinations Announces 2024 Priorities
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SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
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SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
SEC and SRO News
- Mark Uyeda Sworn in for Second Term as SEC Commissioner
Troutman Pepper's Investment Management Group serves a wide range of businesses in the investment management community. Our practice involves three general areas: representation of registered investment companies and registered investment advisers, representation of alternative investment funds and investors in alternative products, and counseling regarding securities regulation, enforcement and litigation. Contact any of our professionals if you have questions about this update or any other investment management issues.