Topics

New Rules, Proposed Rules and Guidance

• Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
• 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

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
• Funds Face Emerging Cyber Risks

Litigation and Enforcement Actions

• SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
• SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company

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