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Regulatory Insights for Asset Managers

regulatory insights

Regulatory Insights is an update from our regulatory affairs team that keeps clients aware of the changing regulatory news impacting their business. There has been quite a bit of regulatory activity recently, including:

  • SEC Proposed Regulation Best Interest
  • HR 4610 “Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act”
  • SEC Priorities
    • New SEC Fund Retail Investor Experience and Disclosure Rule Making Initiative
    • Proposed Rule 30e-3
  • Department of Labor Fiduciary Rule
  • SEC Rule Proposal on Independent Auditor Loan Rules

You can find details on these updates in the May issue of the Regulatory Insights monthly update below.