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Conflicts of Interest › Investment Advisers Act of 1940 › Investment Companies

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: Oct. 1 Quarterly Review

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The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Seward & Kissel LLP

SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Boards of Directors; Investment Advisers - Quick Take: The SEC settled charges against an investment adviser for allegedly entering into an improper legal...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Morrison & Foerster LLP

Conflicts of Interest: When You're Having Too Much Fun at That Business Lunch

Morrison & Foerster LLP on

How should fund directors monitor gifts and entertainment received by investment adviser personnel? This question moved to the forefront in February, when the Securities and Exchange Commission’s Division of Investment...more

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