Reader View
Investment Services Regulatory Update - August 2021
Newsletter/Bulletin
|
September 8, 2021
- Division of Examinations Identifies Compliance Issues Associated with Fixed Income Principal and Cross Trades
- Division of Examinations Risk Alert Identifies Common Deficient Practices with Wrap Fee Programs
- SEC Raises Qualified Client Thresholds
- Citing “Greenwashing” Concerns, IOSCO Issues Recommendations to Securities Regulators on Sustainability-Related Practices, Policies and Disclosures
- SEC Office of the Investor Advocate Issues Report on Objectives for Fiscal Year 2022
- Tenth Circuit Affirms Lower Court Ruling in Favor of Great-West in 36(b) Excessive Fee Case
- SEC Chair Gary Gensler Provides Remarks on Crypto Assets at the Aspen Security Forum
Vedder Thinking | Articles Investment Services Regulatory Update - August 2021
Newsletter/Bulletin
September 8, 2021
Reader View
- Division of Examinations Identifies Compliance Issues Associated with Fixed Income Principal and Cross Trades
- Division of Examinations Risk Alert Identifies Common Deficient Practices with Wrap Fee Programs
- SEC Raises Qualified Client Thresholds
- Citing “Greenwashing” Concerns, IOSCO Issues Recommendations to Securities Regulators on Sustainability-Related Practices, Policies and Disclosures
- SEC Office of the Investor Advocate Issues Report on Objectives for Fiscal Year 2022
- Tenth Circuit Affirms Lower Court Ruling in Favor of Great-West in 36(b) Excessive Fee Case
- SEC Chair Gary Gensler Provides Remarks on Crypto Assets at the Aspen Security Forum
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