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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • SEC Adopts Money Market Fund Rule Amendments
  • SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule
  • FinCEN Proposes Anti-Money Laundering Rules
  • Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
  • SEC Divisions Issue Guidance Regarding Proxy Voting

Other News

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

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

To read the Regulatory Update, click the link below.