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

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

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

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 - 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 - October 30, 2013

Non-Enforcement Matters: - No Rush to Advertise by Hedge Funds - Updated Guidance From the SEC - Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers Enforcement...more

10/30/2013 - Dodd-Frank Enforcement Enforcement Actions Hedge Funds Investment Adviser Non-Enforcement SEC

A Compilation of Enforcement and Non-Enforcement Actions - September 30, 2013

Non-Enforcement Matters - SEC to Monitor Fund Performance Claims - Suit Against Exchange Traded Funds’ Investment Adviser Dismissed - Counterparty Risk Management Practices for Mutual...more

9/30/2013 - Enforcement Enforcement Actions Investment Adviser Mutual Funds Non-Enforcement Regulation M SEC

A Compilation of Enforcement and Non-Enforcement Actions - August 30, 2013

Non-Enforcement Matters: - Private Fund Issuers’ Use of New SEC Rule 506(c) Hardly a “Slam Dunk” - Advisers Need to Revisit Their Business Continuity Plans. Enforcement Matters: - Registered...more

8/30/2013 - Continuity of Enterprises Enforcement Enforcement Actions Investment Adviser Non-Enforcement Private Funds Rule 506 Offerings 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

A Compilation of Enforcement and Non-Enforcement Actions - March 29, 2013

Non-Enforcement Matters: - Recent Newsworthy Remarks by the SEC - SEC Issues “Alert” on the Custody Rule - Securities Exchange Act Issues for Exchange-Traded Funds - Mutual Funds’ After-Tax Returns...more

3/29/2013 - Capital Gains Custody Rule Exchange-Traded Products Income Taxes Investment Adviser Mutual Funds Net Investment Income SEC

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 - December 28, 2012

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

12/28/2012 - Board of Directors Dodd-Frank Enforcement Fiduciary Duty FINRA Hedge Funds Investment Adviser 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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