Investment Management Regulatory Update - November 2016
Industry Update
- OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference
- SEC Announces Enforcement Results for FY 2016
- SEC Releases Statistics Reports on Private Funds and Money Market Funds
- SEC Chief of Staff Speaks at National Society of Compliance Professionals 2016 National Conference
- OCIE Issues Risk Alert on Whistleblower Rule Compliance
Litigation
- California Federal Court Dismisses Shareholder Derivative Suit Against Yahoo Regarding its Investment Company Status
- Mutual Fund Adviser Settles with SEC for Fair Valuation and Disclosure Failures
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