Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
August 2019
In this issue:
- Court Finds for Defendant Investment Adviser in Section 36(b) Excessive-Fee Case
- Second Circuit Split on 40 Act Private Right of Action
- SEC Staff Issues No-Action Letter Extending Existing Multi-Manager Exemptive Relief
- OCIE Issues Risk Alert Relating to Investment Adviser Oversight
- FINRA Issues Supplemental Guidance on Giving Credit
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
August 2019
Reader View
In this issue:
- Court Finds for Defendant Investment Adviser in Section 36(b) Excessive-Fee Case
- Second Circuit Split on 40 Act Private Right of Action
- SEC Staff Issues No-Action Letter Extending Existing Multi-Manager Exemptive Relief
- OCIE Issues Risk Alert Relating to Investment Adviser Oversight
- FINRA Issues Supplemental Guidance on Giving Credit
Download the Investment Services Regulatory Update below.
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