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Investment Management Regulatory Update - February 2018
Client Newsletter

Created date


Rules and Regulations

  • SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trusts as Qualifying Interests in Real Estate
  • SEC Extends Compliance Date for 1940 Act Liquidity Rule's Liquidity Classification Requirement

Industry Update

  • SEC's National Examination Program Releases Examination Priorities for 2018
  • SEC Releases Diversity Assessment Tool for SEC Regulated Entities


  • SEC Charges Fund Administrator with Fraudulent NAV Calculation
  • SEC Charges Investment Adviser and Principals for Risk Disclosure Failures
  • Investment Adviser Settles SEC Charges Relating to Undisclosed Principal Trades