Reader View
Investment Services Regulatory Update November
Newsletter/Bulletin
|
December 3, 2020
In this issue:
- SEC Adopts New Rule Governing Funds’ Use of Derivatives
- SEC Eases Auditor Independence Rules
- SEC Eases Auditor Independence Rules CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures
- OCIE Shares Observations from Adviser Examinations under its Multi-Branch Initiative
Vedder Thinking | Articles Investment Services Regulatory Update November
Newsletter/Bulletin
December 3, 2020
Reader View
In this issue:
- SEC Adopts New Rule Governing Funds’ Use of Derivatives
- SEC Eases Auditor Independence Rules
- SEC Eases Auditor Independence Rules CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures
- OCIE Shares Observations from Adviser Examinations under its Multi-Branch Initiative
Professionals
