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The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

Investment Management Legal + Regulatory Update – August 2016

Posted in Broker-Dealer Regulation, Fund Regulation, Investment Adviser Regulation, SEC Enforcement

This issue of Investment Management Legal + Regulatory Update discusses several current developments, including:

  • Next on the SEC’s Regulatory Agenda: A Chief Valuation Officer?
  • FinCEN Finalizes Customer Due Diligence Rule for Legal Entity Customers
  • SEC Proposes Business Continuity and Transition Rules for Advisers While Staff Publishes Similar Guidance for Funds
  • The Metaphysics of Systemic Risk
  • SEC Chair White to FSOC: We’re On It
  • SEC Eases Regulatory Burden for Listing Actively Managed ETFs
  • SEC Staff Throws Funds a Lifeline on Auditor Independence (For Now)
  • FINRA Study: Investors Lack Financial Literacy
  • FINRA Proposes Initial Round of Amendments to Communications Rules
  • Spotlight on BDCs
  • OCIE Launches Share Class Initiative
  • And more…

To read the full newsletter, click here.