SEC Enforcement Action against Private Equity Fund Adviser -
On June 1, 2016, the SEC announced that a private equity fund adviser and its principal owner agreed to pay more than $3.1 million to settle SEC charges that,...more
7/11/2016
/ Business Continuity Plans ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Investment Adviser ,
MSRB ,
Municipal Securities Market ,
Pay-To-Play ,
Political Contributions ,
Private Equity Funds ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Rule G-37 ,
Rule G-8 ,
Rule G-9 ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
In This Issue:
- SEC Proposes Changes to Reporting and Disclosure Obligations for Investment Companies and Advisers
- SEC Charges Hedge Fund Executives and External Auditor for Improper Disclosure of Expense...more
6/19/2015
/ Administrative Appointments ,
Anti-Retaliation Provisions ,
Chief Compliance Officers ,
Cybersecurity ,
Department of Labor (DOL) ,
Employer Liability Issues ,
Enforcement Actions ,
EU ,
Fiduciary Duty ,
Hedge Funds ,
Industry Examinations ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Money Market Funds ,
Municipal Advisers ,
OCIE ,
Pay-To-Play ,
Puerto Rico ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards
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
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