Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update



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.


John S. Marten