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
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)