Rules and Regulations

• SEC Proposes Whistleblower Rule Amendments

Industry Update

• SEC Releases Strategic Plan for Fiscal Years 2018-2022

Litigation

• SEC Charges New York-based Investment Adviser for Failing to Disclose Conflicts of Interest Related to Compensation Obtained from Third Parties
• SEC Charges Fund Managers for Failing to Offset Portfolio Company Fees, Disclosures Regarding Accelerated Fees
• SEC Charges a Financial Institution with Failure to Detect or Prevent Misappropriation of Client Funds