Topics
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.