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Searching Content indexed under Financial Services by Peter Fetzer ordered by Published Date Descending.
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A Summary Of Certain Recent Enforcement And Non-Enforcement Actions
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for sponsors of private funds and their placement agents.
United States
16 Apr 2019
2
A Compilation Of Enforcement And Non-Enforcement Actions - 09 September 2016
The Securities and Exchange Commission (SEC) announced that four private equity fund advisers affiliated with Apollo Global Management agreed to a $52.7 million settlement for misleading fund investors.
United States
13 Sep 2016
3
A Compilation Of Enforcement And Non-Enforcement Actions - 01 February 2016
Late last year (December 24, 2015), the Financial Industry Regulatory Authority (FINRA) submitted a proposed rule to the U.S. Securities and Exchange Commission (SEC) for adoption.
United States
2 Feb 2016
4
A Compilation Of Enforcement And Non-Enforcement Actions - September 2015
In a recent SEC "risk alert" for registered broker-dealers and investment advisers, the SEC's Office of Compliance Inspections and Examinations (OCIE) listed the factors that OCIE will be applying when the staff conducts a second round of examinations of registrants' readiness for cybersecurity attacks.
United States
1 Oct 2015
5
A Compilation Of Enforcement And Non-Enforcement Actions - 27 February 2015
The SEC, in its civil action, is seeking an asset freeze, disgorgement, and prejudgment interest and penalties.
United States
3 Mar 2015
6
A Compilation Of Non-Enforcement Actions
The SEC's Custody Rule was recently revised by the SEC* to target the abuses cited in the Madoff Ponzi scheme and other frauds.
United States
6 Mar 2014
7
A Compilation of Enforcement and Non-Enforcement Actions
Now that new Rule 506(c) is effective allowing issuers relying on the securities registration exemption under Rule 506 to conduct general solicitation and advertising provided the issuer’s securities are purchased only by persons that have been verified to be accredited investors, some managers of private funds may take the opportunity to promote their "private" fund offerings to the public.
United States
2 Oct 2013
8
A Compilation Of Enforcement And Non-Enforcement Actions
A summary of the priorities for business conduct and sale practices, as recently published by Financial Industry Regulatory Authority.
United States
7 Feb 2013
9
A Compilation Of Enforcement And Non-Enforcement Actions
The SEC announced the targeted examination program to such registered investment advisers by letter in October.
United States
3 Jan 2013
10
A Compilation of Enforcement and Non-Enforcement Actions – November 2010
The SEC is still smarting from the criticism it received in the wake of the Bernard Madoff Ponzi scheme that went undetected during SEC exams.
United States
22 Nov 2010
11
A Compilation Of Enforcement And Non-Enforcement Actions - December 2009
On December 11, 2009, the United States House of Representatives approved legislation that would result in a major overhaul of the financial services regulatory regime.
United States
24 Dec 2009
12
A Compilation Of Enforcement And Non-Enforcement Actions - November 2009
Earlier this month, the United States Supreme Court (Court) heard the case of Jones v. Harris Associates, which we reported on in our March 2009 Update (http://www.foley.com/publications/pub_detail.aspx?pubid=5873).
United States
20 Nov 2009
13
A Compilation Of Enforcement And Non-Enforcement Actions - August 2009
The SEC recently proposed a new rule (Rule) to curb so-called “pay to play” practices by investment advisers seeking business from public pension and other governmental plans.
United States
1 Sep 2009
14
A Compilation Of Enforcement And Non-Enforcement Actions - June 2009
The Obama administration, through the U.S. Department of the Treasury (Treasury), recently released a white paper entitled, “Financial Regulatory Reform.”
United States
1 Jul 2009
15
A Compilation Of Enforcement And Non-Enforcement Actions - May 2009
The U.S. Securities and Exchange Commission (SEC) recently proposed rule amendments designed to increase protections for clients whose assets are being maintained by investment advisers.
United States
4 Jun 2009
16
For Investment Management Clients And To Other Interested Parties Conflicts Unavoidable For Investment Advisers
The subject of "conflicts of interest" is an area of particular interest among regulators but often times misunderstood by investment advisers.
United States
6 Nov 2006
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