Investment Management Regulatory Update - May 2017
Client Newsletter

Created date


Rules and Regulations

  • SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act

  • House Financial Services Committee Approves Revised Financial CHOICE Act

Industry Update

  • SEC Releases Statistics Report on Money Market Funds


  • SEC Charges Credit Suisse and Former IA Representative with Breaches of Fiduciary Duty

  • SEC Grants Two Whistleblower Awards in a Week

  • Two Advisers Settle Charges for Using Mutual Fund Assets to Pay Expenses Outside of a 12b-1 Plan

Related Practices
Related Offices