Chistopher Myers

Chistopher Myers

Ballard Spahr LLP

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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

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