U.S. Regulatory Update

Securities and Exchange Commission SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers On 23 June, the SEC adopted a set of rules and form amendments that require certain documents filed by investment advisers,...

U.S. Regulatory Update

21 June 2022 Securities and Exchange Commission SEC Seeks Public Comment on Information Providers as Investment Advisers  On 15 June, the SEC requested information and public comment on the activities of certain “information providers” – such as index providers, model...

U.S. Regulatory Update

Securities and Exchange Commission SEC Reopens Comment Period for Proposed Rule on Compensation Clawback Policy On 8 June, the SEC reopened the comment period on proposed rules for listing standards that would, among other things, require national securities exchanges...

U.S. Regulatory Update

Securities and Exchange Commission FINRA Announces Action Against Merrill Lynch Over Mutual Fund Share Classes On 2 June, FINRA announced an action against Merrill Lynch, Peirce, Fenner & Smith, Inc. over the failure of an automated system to correctly identity...
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