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Vedder Thinking | Articles Investment Services Regulatory Update


Reader View

Topics include:

New Rules, Proposed Rules and Guidance

  • SEC Issues Concept Release Relating to the Role of Transfer Agents to Mutual Funds
  • SEC Proposes New Exemptive Rule Governing Funds' Use of Derivatives
  • OCIE Issues Risk Alert Regarding Advisers and Funds that Outsource Their CCOs

Litigation and Enforcement Actions

  • FINRA Sanctions Barclays Capital for Unsuitable Mutual Fund Transactions and Related Supervisory Failures
  • SEC Settles Charges against Wealth Management Businesses for Failing to Disclose Conflicts of Interest Arising from Preferences for Proprietary Funds
  • SEC Settles with Investment Adviser over False Performance Claims
  • U.S. District Court Grants Defendants' Motion to Dismiss in PIMCO Case Relating to Violation of Investment Policies
  • SEC Settles Charges Against Advisory Firms for Failing to Disclose Changes in Investment Strategy of Closed-End Fund
  • U.S. District Court Rules on Defendants’ Motion to Dismiss in Schwab Case Relating to Violation of Fundamental Investment Policies

Other News and Developments

  • SEC Launches Sweep of High-Yield Bond Funds
  • ICI and IDC Survey Shows Fund Boards Follow Strong Governance Practices

To read the Regulatory Update, click the link below.


Nathaniel Segal


John S. Marten