Investment Management Regulatory Update – August 2016
Client Newsletter

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SEC Rules and Regulations

  • SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Securities of a Wholly Owned RIA Subsidiary

Industry Update

  • CFTC Proposes to Amend the Conditions for Exemption from Registration for Certain Foreign Persons


  • SEC Charges Investment Adviser with Failing to Clearly Disclose Additional Costs to Investors
  • State Street Settles Charges Relating to Misleading Custody Clients Regarding Indirect Foreign Currency Exchange Trading
  • SEC Bars Adviser over Brokerage Conflicts
  • SEC Charges Two Unrelated Investment Advisers for Failing to Disclose Loans from Broker-Dealers


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