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Investment Services Regulatory Update - May 2020

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes New Fair Valuation Framework for Registered Funds - Under the Investment Company Act of 1940, securities held by a fund for which...more

Investment Services Regulatory Update - February 2020

New Rules, Proposed Rules, Guidance and Alerts – PROPOSED RULES – Agencies Propose Volcker Rule Amendments Relating to Covered Funds – On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed...more

OCIE Announces 2020 Examination Priorities

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 examination priorities for regulated entities, including investment advisers and registered funds. The examination...more

OCIE Publishes Cybersecurity and Resiliency Observations

On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published observations from its examinations of regulated entities, including funds and investment advisers, to assist those entities in...more

Investment Services Regulatory Update - January 2020

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes Amendments to Auditor Independence Rules - On December 30, 2019, the SEC proposed amendments to Rule 2-01 of Regulation S-X, which sets...more

OCIE Releases Risk Alert Summarizing Observations from Fund Exams and Recent Initiatives

On November 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining its top compliance observations from examinations of nearly 300 registered funds conducted over a two-year...more

OCIE Issues Risk Alert Relating to Investment Adviser Oversight of Supervised Persons with Disciplinary Histories

On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining its observations and recommendations following an examination initiative that focused on oversight practices...more

Investment Services Regulatory Update - August 2019

Litigation and Enforcement Actions and Initiatives – SECTION 36(b) LITIGATION – Court Finds for Defendant Investment Adviser in Section 36(b) - Excessive-Fee Case – On August 5, 2019, the U.S. District Court for the...more

Investment Services Regulatory Update - May 2019

New Rules, Proposed Rules, Guidance and Alerts – GUIDANCE AND ALERTS – OCIE Risk Alert Highlights Risks Associated with Adviser and Broker-Dealer Use of Cloud-Based Storage of Customer Records - On May 23, 2019,...more

Investment Services Regulatory Update - March 2019

New Rules, Proposed Rules, Guidance and Alerts - NEW RULES - SEC Adopts Interim Final Rule Amending Timing Requirements for Filing Reports on Form N-PORT - On February 27, 2019, the SEC adopted an interim final rule...more

Investment Services Regulatory Update - January 2019

New Rules, Proposed Rules, Guidance and Alerts – PROPOSED RULES – SEC Proposes New Fund-of-Funds Rule – On December 19, 2018, the SEC proposed new Rule 12d1-4 under the Investment Company Act of 1940, which, if...more

Investment Services Regulatory Update - November 2018

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS – OCIE Announces Risk-Based Sweep Exam of Funds, ETFs and Advisers - On November 8, 2018, the SEC’s Office of Compliance Inspections and...more

Investment Services Regulatory Update - October 2017

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

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