Peter D. Fetzer

Peter D. Fetzer

Foley & Lardner LLP

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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

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 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 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

A Compilation of Enforcement and Non-Enforcement Actions - December 31, 2013

Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care - As we approach the end of the calendar year, it is a good time for investment advisers to check if all of its personnel who are...more

12/31/2013 - Chief Compliance Officers Compliance Enforcement Enforcement Actions Hedge Funds Investment Adviser Investment Advisory Agreements SEC

A Compilation of Enforcement and Non-Enforcement Actions - November 08, 2013

Non-Enforcement Matters - SEC Focused on Compliance Programs - SEC Beefing Up its Risk and Examinations Office - SEC Guidance on Valuation of Portfolio Securities - Affiliated Exchange-Traded Funds May...more

11/8/2013 - Compliance Enforcement Enforcement Actions Non-Enforcement SEC

A Compilation of Enforcement and Non-Enforcement Actions - July 31, 2013

Non-Enforcement Matters - Insider Trading in Mutual Fund Shares - Incentive for Whistleblowers to Bypass Internal Reporting - SEC Announces Compliance Outreach Sessions - Implementation of FATCA Reporting...more

7/31/2013 - Compliance Enforcement Actions FATCA Insider Trading Mutual Funds Non-Enforcement SEC Whistleblowers

A Compilation of Enforcement and Non-Enforcement Actions - February 28, 2013

In This Issue: Non-Enforcement Matters - Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures - Mutual Fund Boards and Oversight of Fair Valuation - Mutual Funds and...more

2/28/2013 - CFTC Compliance Enforcement Actions ETFs Insider Trading Investment Adviser Mutual Funds SEC

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

1/31/2013 - Complex Financial Products Compliance Cybersecurity Data Protection Enforcement FINRA Hedge Funds Insider Trading Money Laundering Non-Enforcement Private Placements SEC

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

12/1/2012 - Compliance Dodd-Frank FINRA Hedge Funds Insider Trading Investment Adviser Private Investment Funds SEC

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