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1940 Act Regulatory Checklists

April 30, 2021

With all of the new regulations on the horizon, we have prepared a suite of checklists to help registered fund managers map out their paths to compliance. In addition to outlines for the Fund of Funds Rule, the Derivatives Rule, the Valuation Rule and ESG Investing, we have also included topical summaries for each item and links to more detailed information prepared by Morgan Lewis about each of these new regulatory requirements. Our team of registered fund lawyers stands ready to help you with any questions and issues you are navigating, big or small.