Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
July 31, 2019
In this issue:
- SEC Chairman Jay Clayton Announces Modification to Process for Considering Contemporaneous Settlement Offers and Waiver Requests
- SEC Settles Charges Against Custodian for Allegedly Overcharging Investment Company Clients
- SEC Staff Provides Conditional No-Action Assurance for Index Funds Unable to Comply with Diversification Requirements Due to Large Index Constituents
- SEC Adopts Amendments to Loan Provision of Auditor Independence Rules
Download the Investment Services Regulatory Update.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
July 31, 2019
Reader View
In this issue:
- SEC Chairman Jay Clayton Announces Modification to Process for Considering Contemporaneous Settlement Offers and Waiver Requests
- SEC Settles Charges Against Custodian for Allegedly Overcharging Investment Company Clients
- SEC Staff Provides Conditional No-Action Assurance for Index Funds Unable to Comply with Diversification Requirements Due to Large Index Constituents
- SEC Adopts Amendments to Loan Provision of Auditor Independence Rules
Download the Investment Services Regulatory Update.
Professionals