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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 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.



Professionals



John S. Marten

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