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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • OCIE Publishes Risk Alert Regarding the Use of Social Media by Investment Advisers
  • SEC Adopts New Net Worth Standard for Accredited Investors

Enforcement Actions

  • SEC Charges UBS Global Asset Management with Pricing Violations
  • SEC Files Complaint Against Former Evergreen Portfolio Manager
  • SEC Settles Charges Against Morgan Stanley Investment Management for Improper Subadvisory Fee Arrangement

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