Nathan Iacovino

Nathan Iacovino

Troutman Pepper

Contact
View Bio
RSS

Latest Posts › Cease and Desist Orders

Share:

SEC Applies Advisers Act Provisions to Nonadvisor Fund Service Providers

The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers. In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more

6/29/2016  /  Cease and Desist Orders , Dodd-Frank , Fiduciary Duty , Fraud , Investment Advisers Act of 1940 , Private Investment Funds , Securities and Exchange Commission (SEC)
1 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 Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide