Christopher Harvey

Christopher Harvey

Dechert LLP

Contact  |  View Bio  |  RSS

Latest Posts › SEC

Share:

The 15(c) Process Continues to be a Focus of the SEC Enforcement Staff

Two recent SEC Enforcement Division administrative settlements reinforce the importance for fund boards of directors and fund advisers to maintain a robust annual advisory contract renewal process....more

8/14/2015 - Asset Management Board of Directors Enforcement Actions Fund Managers Investment Adviser Investment Companies Investment Company Act of 1940 OCIE SEC Section 15(c)

SEC Targets Another Fund Board in Recent Enforcement Case

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

5/23/2013 - Board of Trustees Compliance Disclosure Requirements Enforcement Penalties Recordkeeping Requirements Reporting Requirements SEC

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

4/30/2013 - Broker-Dealer CFTC CPO Data Protection FCMs FCRA Identity Theft Investment Adviser Red Flags Rule SEC

3 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×