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ARTICLE · 01 JUNE 2015

A Compilation Of Enforcement And Non-Enforcement Actions 29 May 2015

Foley & Lardner LLP
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In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers.

United StatesFinance and Banking
Peter Fetzer
Peter Fetzer
Stuart Fross
Stuart Fross
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Non-Enforcement

  • Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC
  • SEC Issues Guidance on Cybersecurity for Funds and Advisers
  • Whistleblowing Compliance Officer Awarded More Than $1 Million by SEC
  • Acting Director Grim Named Director of SEC Division of Investment Manager
  • Funds That Are First-Time Filers of Form BE-10: Now Due June 30
  • SEC Proposes Rules to Modify Reporting Regime for Registered Investment Companies and Investment Advisers

Enforcement

  • Failure by a Registered Investment Adviser to Correct Examination Deficiencies Leads to SEC Enforcement Action
  • SEC Enforcement Action on Adviser Profitability Analysis

Non-Enforcement

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