Reader View
Investment Services Regulatory Update August
Newsletter/Bulletin
|
September 8, 2020
In this issue:
- SEC Amends Proxy Rules Relating to Proxy Voting Advice
- SEC Proposes Modernization of Fund Disclosure Regime
- SEC Proposes Updated Form 13F Reporting Threshold for Institutional Investment Managers
- OCIE Issues Recommendations for Firms to Mitigate COVID-19-Related Compliance Risks
- District Court Rules that Great-West Did Not Breach Fiduciary Duties Under Section 36(b)
- SEC Settles Charges against Two Advisers Relating to Misrepresentations to Clients about Payment for Order Flow Arrangements
- SEC Announces New Event and Emerging Risks Examination Team
Vedder Thinking | Articles Investment Services Regulatory Update August
Newsletter/Bulletin
September 8, 2020
Reader View
In this issue:
- SEC Amends Proxy Rules Relating to Proxy Voting Advice
- SEC Proposes Modernization of Fund Disclosure Regime
- SEC Proposes Updated Form 13F Reporting Threshold for Institutional Investment Managers
- OCIE Issues Recommendations for Firms to Mitigate COVID-19-Related Compliance Risks
- District Court Rules that Great-West Did Not Breach Fiduciary Duties Under Section 36(b)
- SEC Settles Charges against Two Advisers Relating to Misrepresentations to Clients about Payment for Order Flow Arrangements
- SEC Announces New Event and Emerging Risks Examination Team
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