Investment Management Update - Q4 2023

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This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the period ended December 2023.

Rulemaking and Guidance:

• From the Chief Accountant, Letter to CFOs

• SEC Division of Examinations Announces 2024 Priorities

• SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

• 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

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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