Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
February 3, 2020
In this issue:
- SEC Proposes Amendments to Auditor Independence Rules
- SEC Proposes New Rule Governing Funds' Use of Derivatives
- SEC Proposes Expanding Access to Private Funds
- SEC Issues New Rules for Security-Based Swaps
- OCIE Releases Risk Alert Summarizing Observations from Fund Exams and Recent Initiatives
- The SECURE Act and Its Impact on Retirement Plans
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
February 3, 2020
Reader View
In this issue:
- SEC Proposes Amendments to Auditor Independence Rules
- SEC Proposes New Rule Governing Funds' Use of Derivatives
- SEC Proposes Expanding Access to Private Funds
- SEC Issues New Rules for Security-Based Swaps
- OCIE Releases Risk Alert Summarizing Observations from Fund Exams and Recent Initiatives
- The SECURE Act and Its Impact on Retirement Plans
Download the Investment Services Regulatory Update below.
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