Investment Management Regulatory Update - May 2018
Client Newsletter

Created date


Rules and Regulations

  • SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships

Industry Update

  • SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure

  • SEC Launches Investor Protection Search Tool

  • Dalia Blass Remarks at the 2018 PLI Investment Management Institute

  • Jay Clayton: The Evolving Market for Retail Investment Services and Forward-Looking Regulation – Adding Clarity and Investor Protection While Ensuring Access and Choice


  • SEC Charges Investment Adviser for Failing to Disclose Revenue-Sharing Arrangement with Service Provider to Portfolio Companies

  • SEC Charges Investment Adviser for Fraudulent Valuations and Insider Trading

  • SEC Sues Investment Adviser, CEO, Portfolio Manager, and Trader for Scheme to Inflate Asset Values; U.S. Attorneys’ Office Pursues Criminal Charges