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New Rules, Proposed Rules and Guidance

  • CFTC Adopts Rule Amendments to Harmonize Compliance Obligations for Commodity Pool Operators of Registered Investment Companies
  • Division of Investment Management Issues Guidance Regarding Certain Disclosure and Compliance Matters for Funds That Invest in Derivatives

Other News

  • Independent Directors Council Issues Guidance on Board Composition Considerations
  • Independent Directors Council Issues Guidance on Investment Performance Oversight by Fund Boards
  • Director of the Division of Investment Management Discusses Division Improvement Initiatives
  • SEC's Office of Compliance Inspections and Examinations Issues Risk Alert on Advisers' Business Continuity and Disaster Recovery Planning
  • PCAOB Proposes Changes to the Auditor's Reporting Model

Litigation and Enforcement Actions

  • SEC Sanctions Three Investment Advisory Firms for Violating Custody Rule
  • SEC Sanctions Three Investment Advisory Firms Under Compliance Program Initiative
  • Massachusetts Supreme Court Clarifies Annual Shareholder Meeting Requirement
  • Complaint Filed Against ING Investments Alleging Excessive Management Fees
  • District Court Dismisses Complaint Against BlackRock and iShares for Excessive Securities Lending Fees
  • SEC Sanctions Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer
  • SEC Charges Investment Adviser for Misleading Fund Board During 15(c) Process

To read the Regulatory Update, click the link below.