Rules and Regulations

  • Proposed Amendments to the Volcker Rule

  • SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Person Meeting

Industry Update

  • SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resiliency Practices

  • SEC Commissioner Hester M. Peirce Delivers Speech Detailing Her Token Safe Harbor Proposal


  • SEC Settles Charges against Investment Adviser and CEO for Alleged Misrepresentations regarding Risk Management Policies