Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
August 2016
Topics include
New Rules, Proposed Rules and Guidance
- SEC Approves Adoption of Generic Listing Standards for Actively Managed ETFs
- Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds
- SEC Proposes New Rule and Rule Amendment Requiring Business Continuity and Transition Plans for Advisers
- SEC Staff Provides Temporary No-Action Relief on Auditor Independence and the "Loan Provision"
- FinCEN Adopts Customer Due Diligence Requirements for Covered Financial Institutions, Including Mutual Funds
Public Statements, Press Releases and Testimony
- OCIE Announces Share Class Initiative Focused on Conflicts of Interest
- SEC Chair Discusses Future Regulatory Initiatives and Emerging Industry Challenges at ICI 2016 General Meeting
Litigation and Enforcement Actions
- Section 36(b) Excessive Fee Litigation Update—U.S. District Court Grants Defendant's Motion to Dismiss in State Farm Excessive Fee Case
- Section 36(b) Excessive Fee Litigation Update—U.S. District Court Denies Defendant's Motion to Dismiss in Metropolitan West Excessive Fee Case
- SEC Settles Charges Against Morgan Stanley For Failing To Adopt Written Policies and Procedures Designed to Protect Customer Data
- Inadvertent Proxy Voting Instruction Results in Denial of State Law Appraisal Claim
- FINRA Publishes Targeted Exam Letter for Mutual Fund Waiver Sweep
Other News and Developments
- Financial Stability Board Issues Policy Recommendations to Address "Structural Vulnerabilities" in Asset
Management Industry
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
August 2016
Reader View
Topics include
New Rules, Proposed Rules and Guidance
- SEC Approves Adoption of Generic Listing Standards for Actively Managed ETFs
- Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds
- SEC Proposes New Rule and Rule Amendment Requiring Business Continuity and Transition Plans for Advisers
- SEC Staff Provides Temporary No-Action Relief on Auditor Independence and the "Loan Provision"
- FinCEN Adopts Customer Due Diligence Requirements for Covered Financial Institutions, Including Mutual Funds
Public Statements, Press Releases and Testimony
- OCIE Announces Share Class Initiative Focused on Conflicts of Interest
- SEC Chair Discusses Future Regulatory Initiatives and Emerging Industry Challenges at ICI 2016 General Meeting
Litigation and Enforcement Actions
- Section 36(b) Excessive Fee Litigation Update—U.S. District Court Grants Defendant's Motion to Dismiss in State Farm Excessive Fee Case
- Section 36(b) Excessive Fee Litigation Update—U.S. District Court Denies Defendant's Motion to Dismiss in Metropolitan West Excessive Fee Case
- SEC Settles Charges Against Morgan Stanley For Failing To Adopt Written Policies and Procedures Designed to Protect Customer Data
- Inadvertent Proxy Voting Instruction Results in Denial of State Law Appraisal Claim
- FINRA Publishes Targeted Exam Letter for Mutual Fund Waiver Sweep
Other News and Developments
- Financial Stability Board Issues Policy Recommendations to Address "Structural Vulnerabilities" in Asset
Management Industry
To read the Regulatory Update, click the link below.
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