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Investment Services Regulatory Update - April 2021
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April 19, 2021
In this issue:
- Compliance Date Set for SEC’s New Adviser Marketing Rule
- SEC’s Division of Examinations Issues 2021 Examination Priorities
- SEC Staff No-Action Letter Permits Funds to Self-Custody Certain Loan Interests
- SEC Staff Seeks Industry Feedback on Cross Trade Practices
- SEC Issues Statement and Request for Comment on Custody of Digital Assets by Special Purpose Broker-Dealers
- SEC Position Allows Insurance Companies to Rely on Prior Mutual Fund Substitution Orders
- SEC Requests Comment on Potential Money Market Fund Reform Options
- Important Developments in LIBOR Transition
- Recent Announcements by the SEC and DOL Highlight Emphasis on ESG Investing
Vedder Thinking | Articles Investment Services Regulatory Update - April 2021
April 19, 2021
Reader View
In this issue:
- Compliance Date Set for SEC’s New Adviser Marketing Rule
- SEC’s Division of Examinations Issues 2021 Examination Priorities
- SEC Staff No-Action Letter Permits Funds to Self-Custody Certain Loan Interests
- SEC Staff Seeks Industry Feedback on Cross Trade Practices
- SEC Issues Statement and Request for Comment on Custody of Digital Assets by Special Purpose Broker-Dealers
- SEC Position Allows Insurance Companies to Rely on Prior Mutual Fund Substitution Orders
- SEC Requests Comment on Potential Money Market Fund Reform Options
- Important Developments in LIBOR Transition
- Recent Announcements by the SEC and DOL Highlight Emphasis on ESG Investing
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