Investment Management Regulatory Update
Client Newsletter

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SEC Rules and Regulations

  • SEC Proposes Amendments to Money Market Fund Rules
  • SEC Proposes Rules to Regulate Cross-Border Security-Based Swap Activities
  • IM Guidance Update Emphasizes Compliance with Exemptive Orders

Industry Update

  • ESMA Approves Cooperation Agreement Between EU Securities Regulators and SEC
  • CFTC Adopts Rules on Swap Execution Facilities and Minimum Block Trade Sizes
  • CFTC Issues No-Action Relief from CPO Registration for Certain Delegating General Partners


  • SEC Charges Investment Adviser with Improperly Reallocating Trades Among Client Accounts 
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