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Vedder Thinking | Articles Investment Services Regulatory Update


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Topics include

Litigation and Enforcement Actions

  • U.S. District Court Rules in Favor of Defendants on Remaining Claims in Schwab Case Relating to Violation of Fundamental Investment Policies
  • AXA 36(b) Excessive Fee Cases: First to Trial Since 2009
  • 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

New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance on Oversight of Distribution Fees and Intermediary Payments
  • SEC Issues Concept Release Relating to the Role of Transfer Agents to Mutual Funds
  • SEC Proposes New Exemptive Rule Governing Funds’ Use of Derivatives

Public Statements, Press Releases and Testimony

  • OCIE Announces 2016 Exam Priorities

To read the Regulatory Update, click the link below.


John S. Marten


Nathaniel Segal