Investment Management Regulatory Update - March 2017
Client Newsletter

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SEC Rules and Regulations

  • Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule

Industry Update

  • SEC Division of Investment Management Issues Guidance on “Robo-Advisors”

  • IM Guidance Update Cautions Investment Advisers Regarding Inadvertent Custody under the Custody Rule

  • OCIE Announces Five Most Frequent Compliance Topics Identified during Examinations of Investment Advisers

  • SEC Staff Issues Responses to Frequently Asked Questions Relating to Mutual Fund Fees Guidance Update

  • Department of Labor Proposes 60-Day Delay of Fiduciary Rule Applicability


  • Large Financial Institution Settles Charges Related to Failure to Implement Policies Surrounding Inverse ETFs

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