Investment Management Regulatory Update – August 2016
SEC Rules and Regulations
- SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Securities of a Wholly Owned RIA Subsidiary
Industry Update
- CFTC Proposes to Amend the Conditions for Exemption from Registration for Certain Foreign Persons
Litigation
- SEC Charges Investment Adviser with Failing to Clearly Disclose Additional Costs to Investors
- State Street Settles Charges Relating to Misleading Custody Clients Regarding Indirect Foreign Currency Exchange Trading
- SEC Bars Adviser over Brokerage Conflicts
- SEC Charges Two Unrelated Investment Advisers for Failing to Disclose Loans from Broker-Dealers
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