Investment Management Regulatory Update - January 2017
SEC Rules and Regulations
- SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell Investment Management, LLC to Utilize Affiliate Broker-Dealer to Effect Foreign Currency Transactions and Receive Remuneration
Industry Update
- IM Guidance Update Addresses Disclosure of Mutual Fund Fee Structures
- SEC Announces Intent to Examine Supervision Practices of Registered Investment Advisers over Advisory Personnel in Branch Offices
- SEC’s National Examination Program Releases Examination Priorities for 2017
Litigation
- New York Pension Official and Brokers Charged with Pay-to-Play Scheme
- SEC Charges Platinum Funds, Founder and Associates with Defrauding Investors
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