Skip to Search
Skip to Main Content
Main Content

Client Alert

Investment Management Legal and Regulatory Update - July 2022

July 7, 2022

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

Practice Areas

Media Contact 

If you have a media request or need an attorney with particular knowledge for comment, please contact Kyle Mondy, Marketing & Communications Manager, at 414.287.9481 or


Subscribe today to receive firm newsletters and blogs, client updates, seminar announcements, and more according to your preferences and areas of interest.

Disclaimer and Legal Notices

Copyright © 2023 Godfrey & Kahn, S.C.

Attorneys at Law - All rights reserved.


Client Login