SEC Initiates Enforcement Action Against Hedge Fund Adviser -
The SEC initiated an administrative proceeding on January 8, 2014 against Patrick G. Rooney (“Rooney”), the sole owner and managing partner of Solaris...more
Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care -
As we approach the end of the calendar year, it is a good time for investment advisers to check if all of its personnel who are...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
* 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
- Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures
- Mutual Fund Boards and Oversight of Fair Valuation
- Mutual Funds and...more