Investment Management Regulatory Update - October 2017
Client Newsletter

Created date


Industry Update

  • SEC Announces Cybersecurity Enforcement Initiatives
  • SEC Chairman Issues Statement on Cybersecurity
  • ESG in Private Equity: What Every GP Needs to Know About Public Pension Fund Requirements


  • SEC Charges Adviser with Improperly Recommending Higher Fee Mutual Funds
  • SEC Charges Large Financial Institution With Hidden Fee Markups and Disclosure Failures
  • SEC Charges Private Equity Fund Adviser and Principal for Improper Allocation of Expenses
  • SEC Charges Investment Adviser with Disclosure Failures Relating to ‘Broken Deal’ Expenses
  • California State Court Holds ETF Shareholders Subject to Section 11 Tracing Requirement
  • SEC Brings Action Against Two Companies Related to Initial Coin Offerings