Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
March 2017
Topics include
Litigation and Enforcement Actions
- U.S. District Court Rules for Defense in Hartford Section 36(b) Excessive Fee Case
Public Statements, Press Releases and Testimony
- OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters
New Rules, Proposed Rules and Guidance
- SEC Staff Publishes FAQ in Response to Questions Regarding Its Mutual Fund Fee Structure Guidance and “Clean Shares” Interpretive Letter
- SEC Staff Issues Interpretive Letter Permitting Open-End Funds to Acquire Shares of Affiliated Closed-End Funds
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
March 2017
Reader View
Topics include
Litigation and Enforcement Actions
- U.S. District Court Rules for Defense in Hartford Section 36(b) Excessive Fee Case
Public Statements, Press Releases and Testimony
- OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters
New Rules, Proposed Rules and Guidance
- SEC Staff Publishes FAQ in Response to Questions Regarding Its Mutual Fund Fee Structure Guidance and “Clean Shares” Interpretive Letter
- SEC Staff Issues Interpretive Letter Permitting Open-End Funds to Acquire Shares of Affiliated Closed-End Funds
To read the Regulatory Update, click the link below.
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