Title

Investment Management Regulatory Update - September 2018
Client Newsletter

Created date

9/28/2018

Rules and Regulations

  • SEC Withdraws Two No-Action Letters Ahead of November Roundtable

Industry Update

  • Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking

  • SEC Chairman Gives Remarks on Capital Formation

Litigation

  • Regulators Step Up Enforcement on Crypto Firms

  • SEC Charges Four Transamerica Entities for Violations Related to Errors in Quantitative Investment Models

  • SEC Resolves FCPA Allegations Against U.S.-Based Investment Firm for Bribery of Qaddafi-era Libyan State-Owned Enterprises

  • SEC Settles with Massachusetts Financial Services for $1.9M for Advertising Misstatements

  • SEC Settles with VSS Fund Management LLC and Its General Partner for Failure to Disclose Valuation Increase to Exiting Limited Partners in Buy-out