Topics
New Rules, Proposed Rules and Guidance
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SEC Proposes Money Market Fund Rule Amendments
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Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
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SEC and CFTC Adopt Rules to Help Detect and Prevent Identity Theft
Other News
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Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
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D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5
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Former Mutual Fund Directors Settle Claims that They Failed to Properly Oversee Asset Valuation
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SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
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SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company
To read the Regulatory Update, click the link below.