Topics

New Rules, Proposed Rules and Guidance

• SEC Proposes Money Market Fund Rule Amendments

• Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders

• SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft

Other News

• Funds Face Emerging Cyber Risks

Litigation and Enforcement Actions

• D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5

• Former Mutual Fund Directors Settle Claims that They Failed to Properly Oversee Asset Valuation

• 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 the link below.