Investment Management Regulatory Update - October 2016
SEC Rules and Regulations
- SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs
- SEC Adopts Rules to Modernize Information Reported by Investment Companies
- SEC Adopts Rule Amendments Permitting the Use of Swing-Pricing by Certain Open-End Funds
- Proposed Treasury Regulations and Changes in Ruling Policy on RIC Qualification Requirements
Industry Update
- NFA Proposes Amendment and Interpretive Notice on Collection of CPO and CTA Financial Information
- SEC Announces Intent to Examine the Supervision Practices of Registered Investment Advisers
- SEC Chair White Addresses Legal Practice Division Luncheon at 2016 International Bar Association Annual Conference
Litigation
- First Reserve Settles Charges for Improper Allocation of Adviser Expenses, Insurance Premiums and Service Discounts
- Investment Advisers Charged with Compliance Failures Regarding Wrap Fee Programs
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