News & Analysis as of

Investment Adviser Enforcement Non-Enforcement

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

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

Foley & Lardner LLP

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

Foley & Lardner LLP on

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 Matters: ...more

Foley & Lardner LLP

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

Foley & Lardner LLP on

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

Foley & Lardner LLP

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

Foley & Lardner LLP on

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

Foley & Lardner LLP

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

Foley & Lardner LLP on

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

Foley & Lardner LLP

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

Foley & Lardner LLP on

* 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

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