Investment Management Regulatory Update
Client Newsletter

Created date


SEC Rules and Regulations 

  • Federal Agencies Propose Interagency Rule Impacting Incentive-Based Compensation Arrangements of Investment Advisers

Industry Update

  • CFTC Proposes Amendments to Regulations for CPOs and CTAs
  • Federal Reserve Issues Final Regulations Implementing Volcker Rule Conformance Period


  • SEC and U.S. Attorney Bring Charges in Expert-Network Insider Trading Case
  • SEC Settles with Investment Adviser over IPO Allocations
  • SEC Charges AXA Rosenberg with Securities Fraud for Concealing Quantitative Investment Modeling Error