Peter D. Fetzer

Peter D. Fetzer

Foley & Lardner LLP

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Latest Posts › Fees


A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Remember to Update Your Risk Disclosure on an Ongoing Basis - The staff of the Securities and Exchange Commission (SEC) issued guidance reminding mutual funds, exchange traded funds, and other...more

4/4/2016 - Breach of Duty Conflicts of Interest Directors Disclosure Requirements Enforcement Actions Exchange-Traded Products Fees Fiduciary Duty Form ADV Intermediaries Investor Protection Mutual Funds New Guidance Penalties Registered Investment Advisors Registered Investment Companies (RICs) Risk Assessment SEC

A Compilation of Enforcement and Non-Enforcement Actions - July 01, 2013

Re: Possible SRO for Investment Advisers and Fiduciary Standard for Broker-Dealers — What Others Are Saying - In the ongoing debate over whether a supervisory regulatory agency, other than the SEC, should be delegated...more

7/1/2013 - Enforcement Fees Fiscal Year Fraud Investment Adviser Investors Non-Enforcement SEC

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

* Non-Enforcement Matters: - Legislation Reintroduced to Charge Investment Advisor User Fees - SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern - Recent...more

5/1/2013 - Enforcement Enforcement Actions False Advertising FATCA Fees Investment Adviser Non-Enforcement Offshore Funds Reporting Requirements SEC

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