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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

Litigation

  • District Court Permits Shareholder Litigation Against Oppenheimer to Continue

New Rules, Proposed Rules and Guidance

  • SEC Adopts Reporting Obligations for Advisers to Private Funds

Other News

  • PCAOB Issues Concept Release on Auditor Independence and Audit Firm Rotation
  • ICI and IDC Issue White Paper on Board Oversight of Risk Management
  • SEC Staff Issues “Pay-to-Play” No-Action Relief for Advisers to Registered Funds

Enforcement Actions

  • SEC Settles Charges Against Morgan Stanley Investment Management for Improper Subadvisory Fee Arrangement
  • SEC Orders FINRA to Hire Independent Consultant and Undertake Remedial Measures Related to Records Integrity and Document Production
  • SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading in Securities Underlying an ETF

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