August 18, 2019

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Investment Services Regulatory Update


New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
  • SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
  • Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications

Other News

  • OCIE Issues Risk Alert on Investment Adviser Custody Rule
  • Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
  • Funds Face Emerging Cyber Risks

Litigation and Enforcement Actions

  • 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 on the link below.

© 2019 Vedder Price


About this Author

Vedder Price P.C. attorneys provide a full range of services to a diverse financial services clientele. Attorneys practicing in the firm’s Investment Services Group are experienced in all aspects of investment company and investment adviser securities regulations, broker-dealer regulatory and compliance matters, derivatives and financial product matters, and ERISA and tax matters. Clients include mutual fund complexes, hedge and other private funds, money managers, broker-dealers, independent directors, and many other types of institutions such as banks, savings and loans,...