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Vedder Thinking | Articles Investment Services Regulatory Update


Reader View


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

Other News

  • SEC Asset Management Unit Co-Chief Discusses Enforcement Priorities
  • 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

Litigation and Enforcement Actions

  • U.S. Court of Appeals Reinstates Shareholder Class Action against Schwab Alleging Various Claims Relating to Violation of Fundamental Investment Policies
  • SEC Settles Charges against Adviser for Failure to Maintain Fund Assets with Qualified Custodian and Other Compliance Violations

To read the Regulatory Update, click the link below.


Nathaniel Segal


John S. Marten