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New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
  • SEC Divisions Issue Guidance Regarding Proxy Voting
  • SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules
  • Division of Investment Management Issues Guidance Regarding Fund Deregistrations

Other News

  • SEC Commissioner Confirms Cybersecurity as a Board-Level Concern
  • CFTC Staff Announces Expedited No-Action Relief for CPO Delegation
  • OCIE Issues Cybersecurity Risk Alert

Litigation and Enforcement Actions

  • SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
  • SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors
  • SEC Charges Investment Advisory Firm and Its President for Fraudulently Hiding Account Shortfall
  • SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements
  • SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients

To read the Regulatory Update, click the link below.