Skip to Content
Main Content

Investment Management Legal and Regulatory Update - July 2022

July 7, 2022
View as PDF

Latest Developments

  • SEC Rule Proposal Designed to Enhance ESG Disclosure

Latest Developments: Funds

  • SEC Proposal to Modernize Fund “Names Rule”
  • SEC Probes ETFs’ Revenue-Sharing Agreements

Latest Developments: Advisers

  • SEC’s Division of Examinations Issues Risk Alert on Code of Ethics and MNPI
  • SEC Staff Publishes Bulletin on Standards of Conduct for Account Recommendations for Retail Investors
  • Wisconsin Adopts a New Rule Requiring Investment Adviser Representative Continuing Education 

Latest Developments: Enforcement

  • SEC Charges Adviser for Misstatements and Omissions Concerning ESG Considerations
  • SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud
  • SEC Charges Adviser with Breach of Fiduciary Duty and Orders It to Repay Over $800,000 to Harmed Clients
  • SEC Charges Adviser and Orders It to Pay Over $1.8 Million and Return Funds to Clients Harmed by Undisclosed Conflicts 

SEC News

  • Senate Confirms New SEC Commissioners

Recent News

Join Our Mailing List

Need to stay current on the latest news, trends and regulatory issues impacting your business? Subscribe today! We know your time is valuable, so we limit our communications to only the most pertinent info you need to stay informed.