Investment Management Regulatory Update

Created date


Industry Update

  • Regulators Release Proposed Regulations Implementing the Volcker Rule 
  • SEC Grants No Action Relief from Pay-to-Play Recordkeeping Requirements 
  • SEC Plans to Consider Raising the 500 Shareholder Threshold for SEC Registration


  • SEC Charges Co-Founder of AXA Rosenberg Group, LLC with Securities Fraud for Concealing Quantitative Investment Modeling Error 
  • SEC Charges Former Goldman Employee and His Father in First Ever ETF Insider Trading Enforcement Action 
  • Hedge Fund Directors Under Scrutiny by Cayman Court