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HTMLAssets Under Management by Registered Investment Advisers Have Increased Substantially
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
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.

 

HTMLExcessive Fee Case Withstands Dismissal
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
A court recently allowed an excessive fee case to withstand a dismissal motion. While the case is specific to investment advisers to funds of funds, the case contains cautions for all mutual fund directors.

 

HTMLRepeated Custody Rule Violations Leads to SEC Enforcement Action
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
While an SEC registered investment adviser may be able to escape enforcement action if a violation of the SEC rules is a one-time event and immediate action is taken by the adviser to prevent the violation from reoccurring, it is clear that if such violations occur on a repeated basis and the...

 

HTMLAltering a Document Results in SEC Enforcement Action Against RIA Compliance Officer
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
A former compliance officer of a registered investment advisory firm is the subject of a recently filed SEC enforcement action (In re Wolf, SEC, Admin. Proc. File No. 3-16195, 10/15/14) based on allegations she altered a document before submitting it to the SEC as part of its investigation in...

 

HTMLWill “Accredited Investor” Definition Be Changed?
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
Investment advisers who manage “private funds” (i.e., funds that are not registered as an investment company under the Investment Company Act of 1940, instead relying upon one of two exclusions from the definition of an investment company by having not more than 100 equity investors or...

 

HTMLSEC’s Continued Concern Over Alternative Mutual Funds
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
November 12, 2014, previously published on October 31, 2014
The SEC continues to express concern about alternative mutual funds. This seems a natural position for the agency, as these funds are still relatively new to the mutual fund scene, and the SEC and the industry are working to fully understand how these funds do and should function in the...

 

HTMLAdviser’s Non Compliance With SEC Subpoena Settled by Court
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
The SEC’s subpoena powers under the Investment Advisers Act of 1940 were recently affirmed by a court over the objections of the owner and operator of a SEC registered investment advisory firm (see SEC v. Stilwell, 2014 BL252718, S.D.N.Y., 1:14-mc-257 (ALC), 9/11/14).

 

HTMLFailure to Disclose Conflict of Interest to Clients Results in SEC Enforcement Proceeding Against Registered Investment Adviser
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
The SEC has made it abundantly clear to registered investment advisers that failure to disclose conflicts of interest to clients will continue to be a basis for SEC enforcement action. A recent example is In the Matter of the Robare Group, Ltd., Mark L. Robare, and Jack L. Jones Jr. (Investment...

 

HTMLCost of Proposed User Fees by Registered Investment Advisers Further Discussed
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
As most of our readers are aware, there has been a proposal advocated by various parties, including certain members of Congress, that a funding source to pay for the increase of SEC examinations over registered investment advisers be provided by imposing user fees on registered advisers. You...

 

HTMLUpdate on Insider Trading in Mutual Fund Shares
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
Legal Alert/Article
October 3, 2014, previously published on September 30, 2014
As we reported in 2013, the U.S. Court of Appeals for the Seventh Circuit left open the possibility that insider trading prohibitions may apply to trading in mutual fund shares, and remanded the case to the district court to determine whether the insider’s alleged conduct properly fit under...

 


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