Investment Management Regulatory Update - August 2018
Client Newsletter

Created date


Rules and Regulations

  • SEC Rejects Proposed Rule Change for Bitcoin ETF

Industry Update

  • Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals
  • SEC Launches New Fund Disclosure Website


  • SEC Charges Investment Adviser With Mispricing Cross Trades Between Clients
  • SEC Charges Two Investment Advisers and an Exempt Reporting Adviser for Pay-to-Play Violations
  • SEC Charges New York-based Investment Adviser for Failing to Timely Distribute Annual Audited Financial Statements
  • SEC Files Lawsuit Against Temenos Advisory Inc. and its Chief Executive Officer
  • SEC Settles Charges with Beverly Hills Wealth Management and Majority Owner for Improper Fees and Material Misstatements
  • SEC Charges U.S. Congressman Christopher Collins and Others with Insider Trading
  • SEC Charges Investment Adviser for Undisclosed Conflict of Interest