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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.