Andrew McCarthy

Andrew McCarthy

Ballard Spahr LLP

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Investment Management Update

OCIE Announces 2015 Priorities - The SEC’s Office of Compliance, Inspections and Examinations (OCIE) recently announced its selected list of 2015 examination priorities for investment advisers, broker-dealers, and...more

3/16/2015 - Broker-Dealer Examination Priorities Investment Adviser Investors OCIE SEC SEC Examination Priorities Transfer Agents

Investment Management Update

SEC’s Focus in 2015 - On December 11, 2014, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC), gave a speech at The New York Times DealBook Opportunities for Tomorrow Conference that...more

1/26/2015 - Excessive Fees Insider Trading Investment Adviser Investment Funds Mary Jo White Municipal Advisers No-Action Letters Pay-To-Play SEC Whistleblower Awards

Investment Management Update

In This Issue: - SEC Announces First-of-Its-Kind Whistleblower Award To an Audit and Compliance Professional - SEC Issues No-Action Letter To Allow for Amendment of a Sub-Advisory Agreement without Shareholder...more

12/18/2014 - Anti-Retaliation Provisions Auditors Business Development Companies Carried Interest European Court of Justice Hedge Funds Investment Adviser Investment Funds Investment Management MSRB Municipal Advisers No-Action Letters Pay-To-Play PCAOB Puerto Rico SCOTUS SEC Social Media Tax Refunds Volcker Rule Whistleblower Awards

Investment Management Update

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

7/11/2014 - 401k Anti-Retaliation Provisions Enforcement Actions ERISA EU Investment Advisers Act of 1940 Municipal Advisers Mutual Funds Sarbanes-Oxley SCOTUS SEC Section 15(c) Settlement TFEU

Investment Management Update

Following two recent cases involving investment advisers and social media, the SEC recently issued guidance regarding whether the publication of comments about investment advisers on social media sites would violate those...more

4/29/2014 - Fraud Investment Adviser Investment Advisers Act of 1940 SEC

SEC Acts To Eliminate Prohibition on General Solicitation and Expand 'Bad Actor' Disqualifications

The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more

7/12/2013 - Advertising Compliance Dodd-Frank General Solicitation JOBS Act Private Placements Regulation D Robocalling Rule 506 Offerings SEC

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