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March 22, 2023

SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

Business Development Companies, Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 21, 2023

SEC Proposes Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 6, 2023

SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 28, 2023

SEC Proposes New Safeguarding Rule for Investment Advisers

Exchange-Traded Funds (ETFs), Investment Advisers
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February 15, 2023

SEC Division of Examinations Releases its 2023 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 10, 2023

SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 6, 2023

SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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January 25, 2023

Investment Adviser Charged for Failing to Disclose Revenue Sharing Arrangements and Related Conflicts of Interest

Regulatory Compliance & Enforcement Actions, Investment Advisers
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January 11, 2023

Former Fund Portfolio Manager Charged for Failing to Disclose Conflict of Interest

Regulatory Compliance & Enforcement Actions, Investment Advisers
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December 14, 2022

ISS Releases Annual Proxy Voting Guideline Updates

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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December 6, 2022

SEC Charges Investment Adviser with ESG-Related Policy and Procedure Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 1, 2022

SEC Adopts Amendments to Increase Proxy Voting Transparency

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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September 30, 2022

SEC Settles Charges Against Investment Adviser for Failing to Implement Adequate Proxy Voting Policies and Procedures

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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September 23, 2022

Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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August 4, 2022

IM Director Birdthistle Speech On Swing Pricing, LIBOR and MiFID/Broker-Dealer IA Relief

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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July 28, 2022

SEC Approves First Single-Stock ETFs in US; More Are in the Pipeline

Exchange-Traded Funds (ETFs), Regulatory Compliance & Enforcement Actions, Investment Advisers
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July 22, 2022

SEC Adopts Amendments to Proxy Voting Advice Rules

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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July 19, 2022

Investment Adviser and CCO Failed to Respond to Red Flags Surrounding Investment Adviser Representative’s Outside Business Activities

Regulatory Compliance & Enforcement Actions, Investment Advisers
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July 1, 2022

SEC Adopts Rule Amendments Requiring Electronic Filing of Certain Documents and Form Amendments to Modernize Form 13F

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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July 1, 2022

SEC Seeks Public Comment on Whether Information Providers Are Acting as Investment Advisers

Regulatory Compliance & Enforcement Actions, Investment Advisers
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May 31, 2022

SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning ESG Investment Practices

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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May 23, 2022

SEC Charges Investment Adviser and Three Portfolio Managers in Connection with Multibillion Dollar Securities Fraud

Regulatory Compliance & Enforcement Actions, Investment Advisers
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May 4, 2022

SEC Division of Examinations Issues Risk Alert on Investment Adviser MNPI Compliance Deficiencies

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 24, 2022

Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 17, 2022

SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 11, 2022

SEC Proposes Rules and Amendments to Enhance Cybersecurity Preparedness of Investment Advisers and Investment Companies

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 1, 2022

SEC Chair Gary Gensler Highlights Opportunities to Strengthen Cybersecurity Practices of Investment Companies and Advisers in Speech

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 17, 2021

SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 23, 2021

SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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November 12, 2021

SEC Division of Examinations Issues Risk Alert on Investment Adviser Fee Calculations

Regulatory Compliance & Enforcement Actions, Investment Advisers
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November 11, 2021

SEC Division of Examinations Staff Issues Risk Alert for Advisers that Provide Electronic Investment Advice

Regulatory Compliance & Enforcement Actions, Investment Advisers
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November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 8, 2021

SEC Staff Issues Bulletin Setting Forth Views on Shareholder Proposal Rule; New Approach Expected to Result in More ESG Proposals

Regulatory Compliance & Enforcement Actions, Investment Advisers
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February 8, 2021

Independent Directors Council Submits Comment Letter on Federal Trade Commission’s Proposed Amendments to Premerger Notification Requirements

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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November 24, 2020

SEC Settles Charges Against Investment Advisory Firms and Dually-Registered Broker-Dealer and Investment Adviser Firms Related to Sales of Complex Exchange-Traded Products

Regulatory Compliance & Enforcement Actions, Investment Advisers
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October 5, 2020

SEC Settles Charges Against Investment Adviser for Unlawful Cross Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers
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April 16, 2020

SEC’s Division of Investment Management Issues Information Update on Exemptive Application Hearing Requests

Investment Advisers, Mutual Funds
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The opinions expressed are those of the author(s) and do not necessarily reflect the views of the firm or its clients, or any of its or their respective affiliates. This article is for general information purposes and is not intended to be and should not be taken as legal advice.

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