Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
July 2014
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
- SEC Divisions Issue Guidance Regarding Proxy Voting
- SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules
- Division of Investment Management Issues Guidance Regarding Fund Deregistrations
Other News
- SEC Commissioner Confirms Cybersecurity as a Board-Level Concern
- CFTC Staff Announces Expedited No-Action Relief for CPO Delegation
- OCIE Issues Cybersecurity Risk Alert
Litigation and Enforcement Actions
- SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
- SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors
- SEC Charges Investment Advisory Firm and Its President for Fraudulently Hiding Account Shortfall
- SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements
- SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
July 2014
Reader View
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
- SEC Divisions Issue Guidance Regarding Proxy Voting
- SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules
- Division of Investment Management Issues Guidance Regarding Fund Deregistrations
Other News
- SEC Commissioner Confirms Cybersecurity as a Board-Level Concern
- CFTC Staff Announces Expedited No-Action Relief for CPO Delegation
- OCIE Issues Cybersecurity Risk Alert
Litigation and Enforcement Actions
- SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
- SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors
- SEC Charges Investment Advisory Firm and Its President for Fraudulently Hiding Account Shortfall
- SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements
- SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients
To read the Regulatory Update, click the link below.
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Services