Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more
10/15/2015
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Banks ,
Breach of Contract ,
BSA/AML ,
Census ,
CMOs ,
Collateralized Loan Obligations ,
Compliance ,
Currency Transaction Reports (CTR) ,
Cybersecurity ,
Data Security ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
FinCEN ,
Form ADV ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
Investment Portfolios ,
Investors ,
Janus Capital Group ,
Lehman Brothers ,
Money Laundering ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Private Equity Funds ,
Recordkeeping Requirements ,
Regulation S-X ,
Regulatory Standards ,
Retirement ,
Retirement Plan ,
Rule 10b-5 ,
SAR ,
SCOTUS ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Terrorism Funding ,
Trading Platforms ,
Whistleblower Awards ,
Whistleblowers
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 (ECJ) ,
Hedge Funds ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
MSRB ,
Municipal Advisers ,
No-Action Letters ,
Pay-To-Play ,
PCAOB ,
Puerto Rico ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Tax Refunds ,
Volcker Rule ,
Whistleblower Awards
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 ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
EU ,
Investment Advisers Act of 1940 ,
Municipal Advisers ,
Mutual Funds ,
Sarbanes-Oxley ,
SCOTUS ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Treaty on the Functioning of the European Union (TFEU)