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
* 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
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
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
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