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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


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