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Investment Services Regulatory Update - May 2021
Newsletter
|
June 1, 2021
In this issue:
- SEC’s Division of Examinations Issues Risk Alert on ESG Investing
- SEC Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic
- SEC’s Division of Examinations Issues Risk Alert Cautioning Firms to Comply with Suspicious Activity Monitoring and Reporting
- FINRA Issues Guidance on Sales Charge Discounts and Waivers for Investment Company Products
- SEC Staff of Division of Investment Management Issues Statement on Registered Funds Investing in Bitcoin Futures
- SEC Publishes List of Rules Scheduled for Review under Regulatory Flexibility Act
- Massachusetts Court Denies Motion to Dismiss Certain Counterclaims Regarding Closed-End Fund Bylaw Amendments
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update - May 2021
Newsletter
June 1, 2021
Reader View
In this issue:
- SEC’s Division of Examinations Issues Risk Alert on ESG Investing
- SEC Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic
- SEC’s Division of Examinations Issues Risk Alert Cautioning Firms to Comply with Suspicious Activity Monitoring and Reporting
- FINRA Issues Guidance on Sales Charge Discounts and Waivers for Investment Company Products
- SEC Staff of Division of Investment Management Issues Statement on Registered Funds Investing in Bitcoin Futures
- SEC Publishes List of Rules Scheduled for Review under Regulatory Flexibility Act
- Massachusetts Court Denies Motion to Dismiss Certain Counterclaims Regarding Closed-End Fund Bylaw Amendments
Download the Investment Services Regulatory Update below.
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