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HTMLOCIE Director Repeats Concerns About Compliance Issues Found During Private Equity Adviser Exams
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
Andrew J. Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) once again in a recent speech to industry representatives, described various areas of concern found by OCIE examiners during examinations of private equity advisers.

 

HTMLWill SEC Stick to Its Guns on Reg. A Plus Regulatory Authority?
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The Jumpstart Our Business Startups Act (the “JOBS Act”) directed the SEC to come up with regulations to help revitalize the Regulation A registration exemption under the Securities Act of 1933 to allow offerings of up to $50 million (up from the current exemption limit of $5 million)...

 

HTMLMisusing Client Assets Results in Sanctions Against a Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The owner of a Washington state-based investment advisory firm was recently sanctioned by the SEC for multiple violations of the Investment Advisers Act of 1940, including the fraudulent use of client assets for his own personal use.

 

HTMLMutual Funds and Advisers Should Evaluate Oversight of Proxy Advisory Firms
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 4, 2014, previously published on July 31, 2014
The SEC has issued guidance regarding proxy advisory firms, in the form of 13 Questions and Answers, published in Staff Legal Bulletin No. 20 (“SLB 20”). The Staff’s guidance addresses, among other things, investment advisers’ responsibilities in voting client proxies and...

 

HTMLRenewed Call for Investment Adviser User Fees
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
August 2, 2014, previously published on July 31, 2014
As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment advisers in order to fund a more extensive examination program by the SEC.

 

HTMLKnow Your Affiliates
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
July 8, 2014, previously published on June 30, 2014
One aim of the Investment Company Act is to protect against fund insiders, or affiliated persons, using fund assets for their own purposes to the detriment of the fund and its shareholders. For example, Section 17 of the Act prohibits or restricts a wide range of affiliated transactions, and...

 

HTMLInvestment Advisers’ Affiliation Leads to Violation of Investment Adviser Registration Requirements
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
July 8, 2014, previously published on June 30, 2014
In a recent enforcement action, the SEC found that an investment adviser was in violation of the investment adviser registration requirements under Section 203(a) of the Investment Advisers Act of 1940 (In the Matter of Penn Mezzanine Partners Management, L.P., Release No. IA-3858). The adviser and...

 

HTMLPortfolio Manager Sanctioned for Prohibited Act
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
July 8, 2014, previously published on June 30, 2014
Christopher B. Ruffle, portfolio manager of The China Fund, Inc., a fund registered under the Investment Company Act of 1940 was recently sanctioned by the SEC for orchestrating a securities transaction when he knew that the transaction raised affiliation concerns and was a prohibited joint...

 

HTMLOrder Issued for Retaliation Against Dodd-Frank Whistleblower
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
July 8, 2014, previously published on June 30, 2014
Now that the SEC’s whistleblower program is in full operation, the enforcement action highlighted here may become more of a common occurrence. This enforcement action against Paradigm Capital Management, Inc. (“Paradigm”), an SEC registered investment adviser, and its principal...

 

HTMLEmployees of Mutual Fund’s Investment Adviser Have Whistleblower Protections
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
June 6, 2014, previously published on May 30, 2014
Mutual fund boards should be aware that the U.S. Supreme Court has ruled that the employees of investment advisers and other mutual fund service providers are protected by the anti-retaliation provisions of the Sarbanes-Oxley Act of 2002. In light of this, as part of its ongoing oversight process,...

 


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