Non-Enforcement Matters

  • Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures
  • Mutual Fund Boards and Oversight of Fair Valuation
  • Mutual Funds and Affiliated Securities Lending Agents

Enforcement Matters

  • CFTC Takes Enforcement Action Against Introducing Broker for Lying to the Regulator
  • SEC Takes Enforcement Action Against Adviser for Inadequate Written Compliance Policies and Procedures
  • Financial Adviser Charged With Illegally Providing Insider Information