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New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance Regarding Gifts and Entertainment under Section 17(e)(1)
  • SEC Proposes Rules for Disclosure of Hedging by Employees, Officers and Directors
  • SEC Extends Temporary Rule Regarding Adviser Principal Trades

Other News

  • SEC and FINRA Issue Results of Cybersecurity Examinations
  • OCIE Releases 2015 Examination Priorities
  • ICI and IDC Issue White Paper on Funds’ Use of Proxy Advisory Firms
  • SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk

Litigation and Enforcement Actions

  • SEC Settles Charges Against Adviser for Failure to Maintain Fund Assets with Qualified Custodian and Other Compliance Violations
  • SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising

Derivatives Markets

  • ISDA Recommends Measures to Enhance Derivatives Trade Reporting and Transparency
  • SEC Adopts Rules Regarding Security-Based Swap Data Repositories
  • Relief for Commercial End-Users and Financial Cooperatives from Margin Requirements for Non-Cleared Swaps
  • CFTC Considering Clearing Mandate for Foreign Exchange Non-Deliverable Forwards

To read the Regulatory Update, click the link below.