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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules
  • Division of Investment Management Issues Guidance Regarding Fund Deregistrations
  • 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

Other News

  • OCIE Issues Cybersecurity Risk Alert
  • SEC Staff Member Discusses Planned Sweep Examination of Alternative Funds
  • SEC Staff Member Comments on Recent Sub-Transfer Agency Examinations

Litigation and Enforcement Actions

  • SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements
  • SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients
  • 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

To read the Regulatory Update, click the link below.