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Vedder Thinking | Articles Investment Services Regulatory Update



New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Cybersecurity Guidance
  • Department of Labor Issues New Proposed Rule Defining Fiduciary Investment Advice
  • Division of Investment Management Releases Money Market Fund Reform FAQs
  • Division of Investment Management Publishes FAQs on Valuation 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

Litigation and Enforcement Actions

  • U.S. Court of Appeals Rejects Defendants' Request for Rehearing in Schwab Case Relating to Violation of Fundamental Investment Policies
  • SEC Settles Charges Against Adviser and CCO for Providing Inaccurate and Incomplete Information to Fund Board in Connection with Contract Renewal 
  • SEC Settles Conflict-of-Interest Case Against BlackRock and Former Chief Compliance Officer Concerning Portfolio Manager's Outside Business Activities
  • SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets from Investors
  • 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