Investment Management Legal and Regulatory Update - July 2022
July 7, 2022
View as PDFInvestment Management Legal and Regulatory Update - July 2022
July 7, 2022
View as PDF
Practices
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
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