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 Developments Spell Relief From FATCA Reporting Requirements for Managers of Certain Offshore Funds

Enforcement Matters

  • SEC Initiates Enforcement Action Against Adviser for Fraudulent Advertisement
  • Misrepresenting AUM Leads to SEC Charges