Since the last issue of our Investment Management Update, we have also published the following separate Alerts of interest to the investment management industry:

SEC Streamlines Exchange Listings for Actively Managed ETFs

August 4, 2016

Call for Input on the Post-Implementation Review of the FCA’s Crowdfunding Rules

July 26, 2016

Potential Implications on the Use of Passporting for Asset Management Firms in a Post-Brexit World

July 14, 2016

Amended FINRA Rule Will Require Margin for TBA Transactions

July 11, 2016

SEC Issues Guidance on Fund Business Continuity Planning

July 6, 2016

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

July 6, 2016

SEC Staff Addresses Funds’ Auditor Independence Problem

July 5, 2016

Market Abuse Regulation

June 15, 2016

Upcoming EU Disclosure Requirements for Certain Collateral Arrangements

June 10, 2016

FinCEN Issues Customer Due Diligence Rules and Amends AML Program Rules

June 9, 2016

SEC Settles with Private Equity Fund Adviser Charged with Acting as an Unregistered Broker

June 8, 2016