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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 Mixed and Shared Funding Orders
  • Division of Investment Management Issues Guidance on the Presentation of Consolidated Financial Statements
  • SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
  • SEC Includes Valuation Guidance in Money Market Fund Rule Release

Litigation and Enforcement Actions

  • SEC Charges Investment Advisory Firm and Top Officials with Custody Rule Violations
  • SEC Settles Charges Against Barclays Capital for Compliance Failures After Acquisition of Lehman's Advisory Business
  • SEC Settles Charges Against Investment Advisory Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements
  • SEC Settles Multiple Enforcement Actions for Failure to Timely File Reports of Beneficial Ownership
  • SEC Charges Investment Advisory Firm with Failure to Disclose Conflict of Interest to Clients
  • District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions

To read the Regulatory Update, click the link below.