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Vedder Thinking | Articles Investment Services Regulatory Update


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Topics include

New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance on Fund Disclosure Reflecting Risks Related to Current Market Conditions
  • Division of Investment Management Issues Guidance on Oversight of Distribution Fees and Intermediary Payments

Public Statements, Press Releases and Testimony

  • SEC Chair Mary Jo White Addresses Several Topics Regarding Mutual Fund Directors, Including Enforcement Actions and Oversight of Operational, Liquidity and Cybersecurity Risks
  • OCIE Announces 2016 Exam Priorities

Litigation and Enforcement Actions

  • SEC Settles Charges Against AIG Affiliates for Mutual Fund Sales Conflicts
  • U.S. District Court Rules in Favor of Defendants on Remaining Claims in Schwab Case Relating to Violation of Fundamental Investment Policies

To read the Regulatory Update, click the link below.


Nathaniel Segal


John S. Marten