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
Non-Enforcement Matters
- SEC Focused on Compliance Programs
- SEC Beefing Up its Risk and Examinations Office
- SEC Guidance on Valuation of Portfolio Securities
- Affiliated Exchange-Traded Funds May...more
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
Non-Enforcement Matters
- SEC to Monitor Fund Performance Claims
- Suit Against Exchange Traded Funds’ Investment Adviser Dismissed
- Counterparty Risk Management Practices for Mutual...more
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
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
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
* 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
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 ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Money Laundering ,
Non-Enforcement ,
Private Placements ,
Securities and Exchange Commission (SEC)