Peter D. Fetzer

Peter D. Fetzer

Foley & Lardner LLP

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A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - FINRA’s Proposed Pay-to-Play Rule Will Impact Investment Advisers - Late last year (December 24, 2015), the Financial Industry Regulatory Authority (FINRA) submitted a proposed rule to the U.S....more

2/3/2016 - 12b-1 plan Cybersecurity Enforcement Actions FINRA Fund Managers Investment Adviser Investor Protection OCIE Pay-To-Play Sanctions SEC SEC Examination Priorities Securities Fraud Transparency

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Investment Management Division Director Address to Investment Company Institute - Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th...more

12/30/2015 - CFTC Data Collection Derivatives Dodd-Frank EB-5 Enforcement Actions Insider Trading Investment Companies Liquidity Risk Management Rule Portfolio Managers SEC Unregistered Brokers

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - A Source of Concern for the SEC — The Outsourcing by Investment Advisers and Funds of Compliance Activities - In a recent National Exam Program Risk Alert (dated November 9, 2015) the U.S....more

12/1/2015 - Chief Compliance Officers Compliance Custody Rule Enforcement Actions Investment Advisers Act of 1940 OCIE Outsourcing Registered Investment Advisors Risk Alert SEC

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - States are Accommodating Crowdfunding Offerings While the SEC Continues to Ponder Crowdfunding Rules - The SEC first proposed rules in October 2013 for the crowdfunding exemption which was included in...more

8/3/2015 - Accountants Asset Valuations Auditors Broker-Dealer Civil Monetary Penalty Crowdfunding DOL Fee Disclosure Fiduciary Duty Hedge Funds Investment Company Act of 1940 Investors JOBS Act Private Equity Funds Public Pension SEC

A Compilation of Non-Enforcement Actions

Be Careful to Adhere to Best Practices When Approving Advisory Agreements - The Securities and Exchange Commission instituted and settled an administrative proceeding against an investment adviser, its principal, and...more

7/1/2015 - Administrative Hearings Advisory Contracts Chief Compliance Officers Independent Directors Investment Adviser Material Nonpublic Information SEC

A Compilation of Enforcement and Non-Enforcement Actions

Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC - In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers. At that time, the SEC...more

6/1/2015 - Compliance Cybersecurity Enforcement Actions Form BE-10 Investment Adviser Investment Companies Private Equity Retaliation SEC Whistleblowers

A Compilation of Enforcement and Non-Enforcement Actions

The SEC announced that a compliance professional has been awarded $1.4 million to $1.6 million for reporting misconduct inside his firm to the SEC. The SEC recently noted that it has paid $50 million to 17 whistleblowers, out...more

5/1/2015 - Enforcement Actions Enforcement Statistics SEC

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement Matters - SEC 2015 Rulemaking Geared to Asset Managers - Certain Personnel of Registered Municipal Advisers Will Be Subject to Qualification Exams - Rulemaking Completed for Reg A+, But Will It Matter? -...more

4/1/2015 - Enforcement Actions JOBS Act Material Misstatements Municipal Advisers Personal Liability Registration Statement Regulation A Rulemaking Process SEC Small Offering Exemptions

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - 2015 Legislative Agenda Includes Dodd-Frank Revisit and Cybersecurity. Enforcement - SEC Enforcement Action Underscores Importance of Custody Rule Compliance - Joint SEC/State...more

3/2/2015 - Custody Rule Cybersecurity Dodd-Frank Enforcement Actions Hedge Funds SEC

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement Advisers to Private Funds Among Targets of the SEC’s 2015 Examination Program The U.S. Securities and Exchange Commission (SEC) recently announced the 2015 examination priorities for its Office of Compliance...more

2/2/2015 - Broker-Dealer Enforcement Actions Enforcement Statistics Examination Priorities Investment Adviser Mary Jo White OCIE Private Equity Funds Regulatory Agenda SEC

A Compilation of Enforcement and Non-Enforcement Actions

SEC Looks to Step Up Oversight of the Fund Industry - At a recent conference, Mary Jo White, SEC chairman, announced that the SEC will look to increase its scrutiny of the mutual fund asset management segment to ensure...more

1/2/2015 - Enforcement Enforcement Actions False Statements Family Offices Hedge Funds Mutual Funds SEC Securities Securities Fraud Strategic Enforcement Plan

Non-Enforcement

When the U.S. Congress passed the crowdfunding exemption under the Jumpstart Our Business Startups Act (the “Jobs Act”) in 2012, there was much anticipation and optimism for the ability of issuers of securities to be able to...more

12/1/2014 - Alternative Investment Funds Closed-End Funds Crowdfunding JOBS Act Public Offerings Rulemaking Process SEC Shareholder Proposals Small Offering Exemptions

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Assets Under Management by Registered Investment Advisers Have Increased Substantially - Will “Accredited Investor” Definition Be Changed? - Excessive Fee Case Withstands Dismissal -...more

11/3/2014 - Accredited Investors Alternative Mutual Funds Custody Rule Dodd-Frank Enforcement Actions Excessive Fees Falsified Documents Investment Adviser Regulation D SEC

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Cost of Proposed User Fees by Registered Investment Advisers Further Discussed - SEC Valuation Guidance for All Funds - Update on Insider Trading in Mutual Fund...more

10/1/2014 - Conflicts of Interest Enforcement Enforcement Actions Insider Trading Investment Adviser Mutual Funds SEC Subpoenas Valuation

A Compilation of Enforcement and Non-Enforcement Actions

SEC Proposes Extension of Principal Trade Rule for Registered Advisers/Broker-Dealers - The SEC has proposed extending to December 31, 2016, the sunset date for the expiration of Rule 206(3)-3T (the “Rule”) under the...more

9/2/2014 - Broker-Dealer Compliance Enforcement Enforcement Actions Fraud Investment Advisers Act of 1940 SEC

A Compilation of Enforcement and Non-Enforcement Actions

Renewed Call for Investment Adviser User Fees - As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment...more

8/1/2014 - Compliance Dodd-Frank Enforcement Enforcement Actions Investment Adviser JOBS Act Non-Enforcement OCIE SEC

A Compilation of Enforcement and Non-Enforcement Actions

As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more

7/1/2014 - Affiliated-Business Arrangements Affiliates Broker-Dealer Cybersecurity Dodd-Frank Enforcement Enforcement Actions Investment Adviser Retaliation Sanctions SEC

A Compilation of Enforcement and Non-Enforcement Actions

Concerns Noted During Private Equity Adviser Exams - Routine examinations by the SEC at advisory firms who manage the assets of private equity funds have uncovered some serious concerns about the way such advisers...more

5/30/2014 - Enforcement Enforcement Actions FINRA Investment Adviser Mutual Funds OCIE Popular Private Equity Private Equity Funds Professional License SEC Whistleblowers

A Compilation of Enforcement and Non-Enforcement Actions - 04/30/14

Enforcement Matters: Improper Calculation of Client Advisory Fees Results in Enforcement Action - In a recent action (In the Matter of Transamerica Financial Advisors, Inc., Investment Advisers Act Release No....more

4/30/2014 - Cybersecurity Enforcement Enforcement Actions Fraud Sanctions SEC

A Compilation of Actions - April 01, 2014

In a recent SEC no-action letter (RS Global Natural Res. Fund, SEC no-action letter, available 3/6/14), the SEC stated that it would take a non-enforcement position if a SEC registered investment adviser to a fund registered...more

4/1/2014 - Compliance Enforcement Investment Company Act of 1940 No-Action Letters SEC

A Compilation of Non-Enforcement Actions - 03/03/14

SEC Reminds Funds That Shareholders Should Be Allowed to Vote on Each Material Amendment to Charter Documents - The Staff of the Division of Investment Management has issued guidance to funds reminding them that when...more

3/3/2014 - Enforcement Actions Investment Company Act of 1940 SEC Shareholder Litigation Shareholders

A Compilation of Enforcement and Non-Enforcement Actions - 02/03/14

SEC Initiates Enforcement Action Against Hedge Fund Adviser - The SEC initiated an administrative proceeding on January 8, 2014 against Patrick G. Rooney (“Rooney”), the sole owner and managing partner of Solaris...more

2/3/2014 - Compliance Enforcement Actions Fraud Hedge Funds OCIE SEC Securities Fraud

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