Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
  • Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications
  • SEC Staff Provides Guidance on Health Care Tax and After-Tax Return Calculations

Other News

  • OCIE Issues Risk Alert on Investment Adviser Custody Rule
  • Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
  • SEC Staff Releases 2013 Examination Priorities
  • Funds Face Emerging Cyber Risks

Litigation and Enforcement Actions

  • SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company
  • Supreme Court Unanimously Limits the SEC’s Ability to Bring Civil Penalty Claims for Fraudulent Conduct Older Than Five Years

To read the Regulatory Update, click on the link below.