Peter D. Fetzer

Peter D. Fetzer

Foley & Lardner LLP

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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 - 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 - 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 - May 31, 2013

Board Oversight of Distribution and Financial Intermediaries - One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more

5/31/2013 - CFTC Conflicts of Interest Enforcement Fund Managers Identity Theft Investment Management Misappropriation Mutual Funds Rule 12b-1 Plans SEC Shareholders Social Media

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

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