| U.S. Developments |
|
| SEC Requires Electronic Filing of Form D |
1 |
| SEC Proposes Rule to Facilitate Investments
in ETFs |
2 |
| SEC Proposes Revised Part 2 of Form ADV |
2 |
| Courts Uphold Legality of PIPE Transactions Hedged with a Short Sale |
3 |
| SEC Fines Investment Adviser for Gifts |
3 |
| SEC Proposes Amendments to Privacy Rules |
3 |
| |
|
| UK and European Developments |
|
| JMLSG Anti-Money Laundering Update |
4 |
| HFWG Best Practices |
4 |
| Report on Risk Management Practices |
4 |
| UK Investment Management Tax Exemption |
5 |
