Non-Enforcement -
SEC Decides Against Mounting an Appeal in Koch Ruling -
The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more
11/2/2015
/ Auditors ,
Board of Directors ,
Breach of Duty ,
Cease and Desist Orders ,
Chief Compliance Officers ,
Civil Monetary Penalty ,
Compliance ,
Conflicts of Interest ,
Cyber Threats ,
Cybersecurity ,
Disclosure Requirements ,
Disgorgement ,
Division of Investment Management ,
Dodd-Frank ,
Enforcement Actions ,
Exemptive Orders ,
Fiduciary Duty ,
Fixed Income Investments ,
Guidance Update ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Investor Protection ,
Liquidity Risk Management Rule ,
Meals-Gifts-and Entertainment Rules ,
Mismanagement ,
Money Market Funds ,
Municipal Advisers ,
Mutual Funds ,
NRSRO ,
Popular ,
Prejudgment Interest ,
Private Funds ,
Proposed Regulation ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Risk Mitigation ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Testimonial Statements ,
Valuation
Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more
10/1/2015
/ Blue Sky Laws ,
Board of Directors ,
Broker-Dealer ,
Chief Compliance Officers ,
Civil Monetary Penalty ,
Cyber Attacks ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Data Privacy ,
Data Protection ,
Data Security ,
Derivatives ,
Disclosure Requirements ,
ETFs ,
Free Identity Theft Protection ,
Hackers ,
Investment Portfolios ,
Liquidity Risk Management Rule ,
Mutual Funds ,
NAV ,
New Guidance ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Proposed Regulation ,
Registered Investment Advisors ,
Regulation S-P ,
Remedial Actions ,
Reporting Requirements ,
Risk Alert ,
Risk Assessment ,
Risk Management ,
Sanctions ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments ,
Senior Managers ,
Servicing Agreements ,
Share Redemption ,
Shareholder Distributions ,
Swing Pricing
Non-Enforcement -
Form PF — What Purpose?
SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more
8/31/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Board of Directors ,
Breach of Duty ,
CFTC ,
Chief Compliance Officers ,
Compliance ,
Conflicts of Interest ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Excessive Fees ,
Failure To Disclose ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Form PF ,
FSOC ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
IOSCO ,
Meals-Gifts-and Entertainment Rules ,
Mutual Funds ,
National Private Placement Regimes (NPPR) ,
Penalties ,
Private Funds ,
Risk Management ,
SCOTUS ,
SEC Examination Priorities ,
Section 36(b) ,
Securities and Exchange Commission (SEC) ,
Transparency ,
UK
In This Issue:
Non-Enforcement Matters:
- New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
- FINRA Rule 5123 Revisited
Enforcement Matters:
- SEC Accuses...more