Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Reopens Commenting Period on Target Date Funds
  • SEC Grants No-Action Relief to 403(b) Plans Investing as Qualified Purchasers

Industry Update

  • SEC Issues Cybersecurity Initiative Risk Alert
  • SEC Provides Guidance on Investment Company Deregistration
  • IM Information Update Summarizes 2013 Accomplishments and Provides Key 2014 Agenda Items


  • SEC Charges Financial Services Firm with Improperly Calculating Advisory Fees and Overcharging Clients
  • SEC Charges Investment Adviser for Undisclosed Revenue Sharing Plan

Notes from Europe: European Regulatory Developments

  • UK Financial Conduct Authority Fines Fund Manager 18.6 Million Pounds
  • UK: FCA Publishes Findings on Retail Fund Charges
  • UK: FCA Publishes Policy Statement regarding Soft Dollar Commissions