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FINRA Annual Conference to Address Compliance Concerns

FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C. The meeting gives the securities industry the opportunity to discuss regulatory developments, hear FINRA priorities...

Investment Adviser Custody Rule Causing Headaches for Advisers thumbnail

Investment Adviser Custody Rule Causing Headaches for Advisers

The SEC is warning advisers that it is increasingly finding violations of the custody rule, which is designed to protect advisory clients from the misuse or misappropriation...

SEC “Sweeps” to Target Distribution Fees and Alternative Funds thumbnail

SEC “Sweeps” to Target Distribution Fees and Alternative Funds

Less than one month after announcing its enforcement priorities, the SEC is planning its first round of “sweeps.”  Speaking at an Investment Adviser Association conference on March...

Mary Jo White Commits to “Unrelenting Enforcement” thumbnail

Mary Jo White Commits to “Unrelenting Enforcement”

Mary Jo White’s roots as a federal prosecutor were evident in her prepared remarks in March before the Senate Banking Committee. If confirmed, she promised to create...

SEC Actions Confirm Uptick in Private Equity Enforcement Activity thumbnail

SEC Actions Confirm Uptick in Private Equity Enforcement Activity

Don’t tell me I didn’t tell you so!  Just one week after I cautioned that the SEC is stepping up scrutiny of private equity funds, the agency...

It’s Back! The SEC Seeking Data on Potential Fiduciary Rule thumbnail

It’s Back! The SEC Seeking Data on Potential Fiduciary Rule

On March 1, the SEC issued a long-awaited request for data from the public and other interested parties about whether to align the standards of conduct for...

Adviser Compliance for 2013, Part V: Tying up Loose Ends thumbnail

Adviser Compliance for 2013, Part V: Tying up Loose Ends

Over the past several weeks, we have been outlining a compliance “to do list” for advisers. Past posts have focused on issues that impact all advisers, including...

New Study Backs Up SEC’s Focus on Valuation thumbnail

New Study Backs Up SEC’s Focus on Valuation

The SEC has targeted valuation as a serious compliance concern for private equity funds. It was not only listed in the SEC’s 2013 enforcement priorities, but also...

Adviser Compliance for 2013, Part IV: Review Your Code of Ethics thumbnail

Adviser Compliance for 2013, Part IV: Review Your Code of Ethics

Advisers must be sure that their annual compliance review includes the firm’s code of ethics. Under the Adviser’s Act, all SEC registered advisers are required to adopt...

The SEC Speaks at the New York City Bar March 8 thumbnail

The SEC Speaks at the New York City Bar March 8

Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a program last Friday at the New York City Bar on hot topics in SEC enforcement....

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