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New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance Regarding Unbundling of Proxy Proposals with Respect to Fund Charter Amendments
  • Division of Investment Management Issues Guidance Regarding Risk Management for Fixed Income Funds
  • SEC Adopts Rule and Form Amendments to Remove Credit Rating References
  • Volcker Rule Adopted by Regulatory Agencies to Limit Certain Bank Activities

Other News

  • SEC Staff Member Comments on Recent Sub-Transfer Agency Examinations
  • SEC Increases Focus on Cyber Security
  • OCIE Issues Risk Alert on Investment Adviser Due Diligence Processes for Selecting Alternative Investments
  • SEC Staff Releases 2014 Examination Priorities

Litigation and Enforcement Actions

  • Complaint Filed Against BlackRock Alleges Excessive Advisory Fees
  • SEC Settles Charges Against Credit Suisse for Providing Unregistered Services to U.S. Clients
  • SEC Sanctions Investment Adviser and President/Chief Compliance Officer for False and Misleading Advertisements
  • SEC Charges Investment Adviser with Violations of the Federal Securities Laws

To read the Regulatory Update, click the link below.