Investment Management Regulatory Update - December 2017
Client Newsletter

Created date


Rules and Regulations

  • CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions

Industry Update

  • SEC Announces Updates to Form N-PORT Filing Requirements


  • SEC Charges Investment Adviser and Principals for Undisclosed Conflicted Transactions

  • SEC Charges Adviser with Misrepresentations in Offering Documents and Misappropriation of Investor Funds

  • Large Broker-Dealer Settles with FINRA for Delivery System Failures Relating to ETF Prospectuses