Title

Investment Management Regulatory Update - November 2016
Client Newsletter

Created date

11/22/2016

Industry Update

  • OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference
  • SEC Announces Enforcement Results for FY 2016
  • SEC Releases Statistics Reports on Private Funds and Money Market Funds
  • SEC Chief of Staff Speaks at National Society of Compliance Professionals 2016 National Conference
  • OCIE Issues Risk Alert on Whistleblower Rule Compliance

Litigation

  • California Federal Court Dismisses Shareholder Derivative Suit Against Yahoo Regarding its Investment Company Status
  • Mutual Fund Adviser Settles with SEC for Fair Valuation and Disclosure Failures