Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
June 2017
In this issue
Public Statements, Press Releases and Testimony
- OCIE Issues Risk Alert on Critical Systems Following “WannaCry” Ransomware Attack
- SEC Commissioner Piwowar: SEC Staff Working on Amendments to the “Loan Provision” Concerning Auditor Independence
Litigation and Enforcement Actions
- SEC Settles Charges Against Barclays Capital for Overcharging Advisory Clients
- FINRA Sanctions Cetera for Violations in Connection with Mutual Fund Sales
- SEC Settles Charges Against Calvert for Improper Use of Fund Assets for Marketing, Distribution and Sub-Transfer Agency Services
Legislative Developments
- House Passes the Financial CHOICE Act of 2017: Implications for Mutual Fund Excessive Fee Litigation
- House Passes the Financial CHOICE Act of 2017: Implications for Exemptive Relief Process
- House Passes the Financial CHOICE Act of 2017: Implications for Closed-End Fund Capital Raising and Registration Process
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
June 2017
Reader View
In this issue
Public Statements, Press Releases and Testimony
- OCIE Issues Risk Alert on Critical Systems Following “WannaCry” Ransomware Attack
- SEC Commissioner Piwowar: SEC Staff Working on Amendments to the “Loan Provision” Concerning Auditor Independence
Litigation and Enforcement Actions
- SEC Settles Charges Against Barclays Capital for Overcharging Advisory Clients
- FINRA Sanctions Cetera for Violations in Connection with Mutual Fund Sales
- SEC Settles Charges Against Calvert for Improper Use of Fund Assets for Marketing, Distribution and Sub-Transfer Agency Services
Legislative Developments
- House Passes the Financial CHOICE Act of 2017: Implications for Mutual Fund Excessive Fee Litigation
- House Passes the Financial CHOICE Act of 2017: Implications for Exemptive Relief Process
- House Passes the Financial CHOICE Act of 2017: Implications for Closed-End Fund Capital Raising and Registration Process
To read the Regulatory Update, click the link below.
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