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Comment Letter on SEC Fiduciary Standard Proposal

The Securities and Exchange Commission earlier this year issued a two-part release that could impact investment managers – including loan managers.  The second part of the release requests comments regarding proposed enhanced investment adviser regulation.  The LSTA this week submitted a comment letter on the two proposals, broadly supporting the recommendations of the Investment Advisers […]

SEC to Investment Managers: Do Your (Fiduciary) Duty

Last month, the Securities and Exchange Commission (“SEC”) issued a two-part release (the “Release”) that, as described below, could impact investment managers – including loan managers..  The first part proposes an interpretation (the “Proposed Interpretation”) regarding the standard of conduct the SEC expects from investment advisers.  The Proposed Interpretation purports to reflect the SEC’s current views of the standards of behavior that apply to investment advisers. However, some elements, according to Cleary Gottlieb, appear to “reflect a higher standard of conduct than is currently required under federal law.”

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