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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance Regarding the Testimonial Rule and Social Media
  • Division of Investment Management Issues Guidance Regarding Aggregate Advisory Fee Rates for Multi-Manager Funds
  • 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

Other News

  • SEC Staff Member Discusses Planned Sweep Examination of Alternative Funds
  • 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

  • U.S. Supreme Court Extends Sarbanes-Oxley Whistleblower Protection
  • 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.