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ARTICLE · 03 NOVEMBER 2014

A Compilation Of Enforcement And Non-Enforcement Actions - Oct 31st 2014

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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 StatesFinance and Banking
Peter Fetzer
Peter Fetzer
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Non-Enforcement

  • Assets Under Management by Registered Investment Advisers Have Increased Substantially
  • Will "Accredited Investor" Definition Be Changed?
  • Excessive Fee Case Withstands Dismissal
  • SEC's Continued Concern Over Alternative Mutual Funds

Enforcement

  • Altering a Document Results in SEC Enforcement Action Against RIA Compliance Officer
  • Repeated Custody Rule Violations Leads to SEC Enforcement Action

Non-Enforcement

Assets Under Management by Registered Investment Advisers Have Increased Substantially

The amount of assets under management (AUM) by investment advisers registered with the SEC increased over the previous 12-month period (for period ending March 30, 2014) by an amount of 12 percent, according to various reports.

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