Investment Management Regulatory Update - July 2017
Rules and Regulations
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SEC Updates Form ADV Frequently Asked Questions
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Interacting with Retirement Investors under the DOL Fiduciary Rule
Industry Update
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Acting Director and Acting Chief Economist of DERA Gives Speech on Market Fragility and Interconnectedness in the Asset Management Industry
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SEC Grants No-Action Relief to Nuveen Fund Advisors under Section 15(a) of the Investment Company Act to Extend Interim Sub-Advisory Agreements Past Their Expiration Dates without Shareholder Approval
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ILPA Issues Guidance on Use of Subscription Credit Lines
Litigation
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Investment Adviser Sentenced for Fraudulent Cherry-Picking Scheme
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