Reader View
Investment Services Regulatory Update February
Newsletter/Bulletin
|
March 2, 2020
In this issue:
- Agencies Propose Volcker Rule Amendments Relating to Covered Funds
- OCIE Publishes Cybersecurity and Resiliency Observations
- FINRA Announces 2020 Exam Priorities
- OCIE Announces 2020 Examination Priorities
- SEC Issues Notice of Intention to Grant Exemption from Board's In-Person Meeting Requirement to Approve Sub-Advisory Agreements
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update February
Newsletter/Bulletin
March 2, 2020
Reader View
In this issue:
- Agencies Propose Volcker Rule Amendments Relating to Covered Funds
- OCIE Publishes Cybersecurity and Resiliency Observations
- FINRA Announces 2020 Exam Priorities
- OCIE Announces 2020 Examination Priorities
- SEC Issues Notice of Intention to Grant Exemption from Board's In-Person Meeting Requirement to Approve Sub-Advisory Agreements
Download the Investment Services Regulatory Update below.
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