Investment Management Regulatory Update - May 2015
Client Newsletter

Created date


SEC Rules and Regulations

  • SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers

Industry Update

  • SEC Division of Investment Management Publishes Cybersecurity Guidance
  • Division of Investment Management Releases FAQs related to Money Market Fund Reforms
  • OCIE Director Andrew Bowden Leaves SEC; Marc Wyatt Named as Acting Director


  • BlackRock Advisors Charged with Failure to Disclose Conflicts of Interest
  • SEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations
  • SEC Orders Maximum Award to Whistleblower in Paradigm Capital Case
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