Investment Adviser, Compliance

“Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers

by Mintz Levin - Privacy & Security on 4/12/2013

It has been several years since the Federal Trade Commission’s Red Flag Rule took effect; and the banking regulators have had the Red Flag Interagency Guidance in place since 2007. Finally, entities regulated by the...more

SEC Settles Cases Alleging Compliance Failures at Private Equity Firms

by Ropes & Gray LLP on 3/14/2013

On March 11, the SEC announced two matters of significant importance to the private equity industry and to private fund sponsors generally. Together, these cases demonstrate the SEC’s continued focus on the private equity...more

SEC Announces 2013 Examination Priorities for the Investment Management Industry

by Ropes & Gray LLP on 3/1/2013

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published its list and discussion of examination priorities for the investment management industry in 2013, which includes both market-wide initiatives...more

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

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 2/28/2013

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

Important Dates and Reminders for Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and...

by Jeffrey D. Collins, Meredith Haviland | Foley Hoag LLP on 1/28/2013

Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least annually (and best practice is...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice

by Jay G. Baris, Hillel Cohn, Kelley A. Howes, Daniel A. Nathan | Morrison & Foerster LLP on 1/16/2013

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

by David Smyth | Brooks Pierce on 12/19/2012

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

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

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/1/2012

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

Imminent Thematic Review by FSA of Asset Managers in the UK

by Dechert LLP on 11/28/2012

The Financial Services Authority is shortly to embark on a thematic review of asset managers. Its focus will be on the risks of bribery and corruption, sanctions and money laundering. Twenty two firms have already been...more

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 1

by Brooks Pierce on 11/26/2012

The SEC Enforcement Division’s Asset Management Unit has brought some substantial cases over the last year, including a number arising out of its Aberrational Performance Inquiry. Another focus for the unit has been...more

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Investment Adviser › Compliance