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Searching Content indexed under Fund Management/ REITs by Peter Fetzer ordered by Published Date Descending.
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1
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 Non-Enforcement And Enforcement Actions - 02 June 2016
In remarks to the Mutual Fund Directors Forum, SEC Chair Mary Jo White outlined some of the risks and challenges that mutual fund directors face, and she shared her view of the role of directors in assessing risks.
United States
6 Jun 2016
4
A Compilation Of Enforcement And Non-Enforcement Actions - 31 March 2016
The staff of the SEC issued guidance reminding mutual funds, exchange traded funds, and other registered investment companies of the importance of reviewing their risk disclosures on an ongoing basis.
United States
7 Apr 2016
5
Investment Advisers And Funds Must Remain Vigilant To Prevent Insider Trading Violations
The SEC continues to actively investigate individuals it believes traded on material nonpublic information purloined from an "insider."
United States
8 Mar 2016
6
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
7
A Compilation Of Enforcement And Non-Enforcement Actions - December 2015
Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th anniversary of the 1940 Acts.
United States
30 Dec 2015
8
A Compilation Of Enforcement And Non-Enforcement Actions - November 2015
The purpose of the Risk Alert was to present the results of the examinations and the staff's concerns about the outsourcing of compliance responsibilities.
United States
2 Dec 2015
9
A Compilation Of Enforcement And Non-Enforcement Actions - October 2015
The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC.
United States
3 Nov 2015
10
A Compilation Of Enforcement And Non-Enforcement Actions - 31 August 2015
SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC.
United States
3 Sep 2015
11
A Compilation Of Enforcement And Non-Enforcement Actions - 31 July 2015
The SEC first proposed rules in October 2013 for the crowdfunding exemption which was included in the Jumpstart Our Business Startups Act (JOBs Act) passed by Congress in 2013.
United States
3 Aug 2015
12
A Compilation Of Enforcement And Non-Enforcement Actions 29 May 2015
In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers.
United States
1 Jun 2015
13
A Compilation Of Enforcement And Non-Enforcement Actions - 30 April 2015
The SEC announced that a compliance professional has been awarded $1.4 million to $1.6 million for reporting misconduct inside his firm to the SEC.
United States
1 May 2015
14
A Compilation of Enforcement and Non-Enforcement Actions - 31 March 2015
According to recent statements by David Grim, acting director of the SEC’s Division of Investment Management, the SEC is working on several proposed rules that would affect registered investment advisers (RIAs).
United States
1 Apr 2015
15
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
16
A Compilation Of Enforcement And Non-Enforcement Actions - 30 January 2015
The U.S. Securities and Exchange Commission (SEC) recently announced the 2015 examination priorities for its Office of Compliance Inspections and Examinations (OCIE).
United States
2 Feb 2015
17
A Compilation Of Enforcement And Non-Enforcement Actions - Oct 31st 2014
The amount of assets under management by investment advisers registered with the SEC increased over the previous 12-month period by an amount of 12%.
United States
3 Nov 2014
18
A Compilation Of Enforcement And Non-Enforcement Actions - 30 September 2014
There has been a proposal that a funding source to pay for the increase of SEC examinations over registered investment advisers be provided by imposing user fees.
United States
1 Oct 2014
19
A Compilation Of Enforcement And Non-Enforcement Actions
Various persons have proposed that a user fee be imposed on SEC registered investment advisers in order to fund a more extensive examination program.
United States
6 Aug 2014
20
A Compilation Of Enforcement And Non-Enforcement Actions
Routine examinations by the SEC at advisory firms who manage the assets of private equity funds have uncovered some serious concerns.
United States
2 Jun 2014
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