Investment Management Regulatory Update - October 2015
Client Newsletter

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SEC Rules and Regulations

  • SEC Proposes Rule Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs
  • SEC Removes References to Credit Ratings in Money Market Fund Rule and Form
  • SEC Proposes Changes to Administrative Proceedings

Industry Update

  • SEC Staff Clarifies Venture Capital Fund Rule in No-Action Letter


  • Investment Adviser Charged with Failure to Adopt Proper Cybersecurity Policies and Procedures
  • SEC Brings First Case Under Distribution-in-Guise Initiative, Charging Investment Adviser with Improperly Using Mutual Fund Assets to Pay Distribution Fees
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