Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
July 2013
Topics
New Rules, Proposed Rules and Guidance
- SEC Proposes Money Market Fund Rule Amendments
- Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
- SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
Other News
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5
- Former Mutual Fund Directors Settle Claims that They Failed to Properly Oversee Asset Valuation
- 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 the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
July 2013
Reader View
Topics
New Rules, Proposed Rules and Guidance
- SEC Proposes Money Market Fund Rule Amendments
- Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
- SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
Other News
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5
- Former Mutual Fund Directors Settle Claims that They Failed to Properly Oversee Asset Valuation
- 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 the link below.
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Services