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Investment Services Regulatory Update July 2023

Newsletter/Bulletin | July 14, 2023

FINRA Seeks Comment on Liquidity Risk Management Rule for Certain Member Firms

SEC Allows Expiration of MiFID II No-Action Relief

Regulatory Agenda Highlights Potential and Pending SEC Rulemaking Topics

SEC Staff’s Latest Risk Alert Highlights Additional Focus Areas for Compliance with the Adviser Marketing Rule

SEC Settles Enforcement Proceeding Against a Private Equity Fund Adviser for Overcharging Fees and Failing to Disclose Conflict

SEC Settles Enforcement Proceeding Against a Mutual Fund Adviser for Miscalculating Fee Waiver

Vedder Thinking | Articles Investment Services Regulatory Update July 2023

Newsletter/Bulletin

July 14, 2023

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