Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
June 2013
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
- SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
- Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications
Other News
- OCIE Issues Risk Alert on Investment Adviser Custody Rule
- Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
- SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company
To read the Regulatory Update, click on the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
June 2013
Reader View
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
- SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
- Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications
Other News
- OCIE Issues Risk Alert on Investment Adviser Custody Rule
- Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
- SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company
To read the Regulatory Update, click on the link below.
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Services