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Could Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”? thumbnail

Could Your Stellar Returns Trigger an SEC “Aberrational Performance Inquiry”?

The SEC first mentioned its “Aberrational Performance Inquiry” initiative back in 2011. Under the initiative, the SEC uses proprietary risk analytics to evaluate hedge fund returns. Performance...

Top Tips For Dealing With Senior Investors thumbnail

Top Tips For Dealing With Senior Investors

Federal and state regulators have made protecting senior investors one of their top priorities. In fact, the North American Securities Administrators Association recently reported that financial abuse...

Ouch! State Actions Against Advisers Doubled in 2011 thumbnail

Ouch! State Actions Against Advisers Doubled in 2011

The number of enforcement actions involving investment adviser firms nearly doubled to 399 in 2011, according to a recent report by the North American Securities Administrators Association...

SEC Continues to Pursue Fraud Charges Against Hedge Funds thumbnail

SEC Continues to Pursue Fraud Charges Against Hedge Funds

The SEC’s enforcement division continues to drop the hammer on hedge funds, particularly those that overstate AUM and inflate reported returns. New Jersey-based hedge fund Yorkville Advisors...

FINRA Releases Official Guidance for Adviser Arbitration Program thumbnail

FINRA Releases Official Guidance for Adviser Arbitration Program

FINRA has released official guidance to investments advisers about the availability of its arbitration program. As discussed in a prior post, the SRO has recently opened its...

SEC Has Another Banner Year at Expense of Advisers thumbnail

SEC Has Another Banner Year at Expense of Advisers

The SEC recently announced that it filed 734 enforcement actions in fiscal year 2012, just short of last year’s record of 735. In light of the recent...

Lawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban thumbnail

Lawmaker Calling on SEC to Revisit JOBS Act Proposal to Lift Advertising Ban

Sen. Carl Levin is calling on the SEC to revisit its proposal to relax advertising rules for private offerings. Per our prior blog post on the JOBS...

FINRA Offers Relief in Wake of Hurricane Sandy thumbnail

FINRA Offers Relief in Wake of Hurricane Sandy

In the wake of the devastating storm that ravaged much of the East Coast, many firms are struggling to keep their businesses up and running. Recognizing that...

FINRA Arbitration Now Available to Advisers thumbnail

FINRA Arbitration Now Available to Advisers

Registered investment advisers are now eligible to participate in FINRA’s arbitration system, according to Linda Fienberg, president of FINRA's office of dispute resolution. Arbitration was previously only...

Conflict of Interest Remains Top SEC Priority thumbnail

Conflict of Interest Remains Top SEC Priority

The SEC continues to identify conflicts of interest as a key focus of its risk-based strategy. In recent remarks before the National Society of Compliance Professionals, Carlo...

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