Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
November 2017
In this issue
New Rules, Proposed Rules, Guidance and Alerts
- SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II
- SEC Staff Denies Request for No-Action Relief Concerning Allocation of Certain Fund of Fund Operating Expenses to Underlying Funds in the Same Fund Family
- SEC Proposes Rules to Implement FAST Act Mandate
Other Regulatory Developments
- SEC Staff Reportedly Considering Measures to Streamline ETF Approval Process
- IDC Calls on SEC Division of Investment Management Director Dalia Blass to Modernize Fund Directors’ Regulatory Responsibilities
- U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation
Legislative Developments
- FAIR Act Expands Safe Harbor for ETF Research Reports Published by Broker-Dealers
Click below to download the Regulatory Update.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
November 2017
Reader View
In this issue
New Rules, Proposed Rules, Guidance and Alerts
- SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II
- SEC Staff Denies Request for No-Action Relief Concerning Allocation of Certain Fund of Fund Operating Expenses to Underlying Funds in the Same Fund Family
- SEC Proposes Rules to Implement FAST Act Mandate
Other Regulatory Developments
- SEC Staff Reportedly Considering Measures to Streamline ETF Approval Process
- IDC Calls on SEC Division of Investment Management Director Dalia Blass to Modernize Fund Directors’ Regulatory Responsibilities
- U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation
Legislative Developments
- FAIR Act Expands Safe Harbor for ETF Research Reports Published by Broker-Dealers
Click below to download the Regulatory Update.
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