Search Results for:
Peter D Fetzer
(113)
- Page 2
ARTICLES(113)
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Registered Investment Adviser Faces Fraud Charges
- June 06, 2014
- LEGAL ALERTS/ARTICLES
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Succession Planning for Mutual Fund Boards
- June 06, 2014
- LEGAL ALERTS/ARTICLES
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Cybersecurity Is a Top Concern
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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Improper Calculation of Client Advisory Fees Results in Enforcement Action
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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Mutual Fund May Not Exclude Socially Responsible Shareholder Proposal From Its Proxy Statement
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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Private Funds to Be Subject of New SEC Dedicated Examination Unit
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Issues Guidance on Social Media and the Testimonial Rule
- May 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Grants Relief to Brokerage Firm From “Bad-Boy” Disqualification Provisions
- April 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC Staff Members Highlight Areas of Focus
- April 03, 2014
- LEGAL ALERTS/ARTICLES
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SEC Unveils Draft of Five-Year Strategic Plan
- April 03, 2014
- LEGAL ALERTS/ARTICLES
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New Front for Activists to Challenge Boards of Closed-End Funds
- March 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Announces Intention to Examine Advisers Never Before Examined
- March 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Grants No-Action to Registered Fund for Utilizing Non-Bank to Custody Certain Assets
- March 06, 2014
- LEGAL ALERTS/ARTICLES
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SEC Reminds Funds That Shareholders Should Be Allowed to Vote on Each Material Amendment to Charter Documents
- March 06, 2014
- LEGAL ALERTS/ARTICLES
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2013 Was a Busy Enforcement Year for the SEC
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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Audit Committee Disclosure Enhancements
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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Due Diligence Requirements of Investment Advisers Prior to Recommending Alternative Investments
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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SEC Guidance on Fixed Income Risk Management
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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SEC Initiates Enforcement Action Against Hedge Fund Adviser
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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Sub-Advisory Arrangements Under Scrutiny
- February 05, 2014
- LEGAL ALERTS/ARTICLES
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Hedge Fund Adviser Charged With Overstating Valuations of Fund Assets
- January 07, 2014
- LEGAL ALERTS/ARTICLES
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Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care
- January 07, 2014
- LEGAL ALERTS/ARTICLES
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Oversight of Sub-Advisors
- January 07, 2014
- LEGAL ALERTS/ARTICLES
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Surviving the SEC Examination
- January 07, 2014
- LEGAL ALERTS/ARTICLES
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Affiliated Exchange-Traded Funds May Merge
- November 11, 2013
- LEGAL ALERTS/ARTICLES
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SEC Beefing Up its Risk and Examinations Office
- November 11, 2013
- LEGAL ALERTS/ARTICLES
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SEC Focused on Compliance Programs
- November 11, 2013
- LEGAL ALERTS/ARTICLES
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Violations of Custody Rule by Advisers Result in SEC Enforcement Actions
- November 11, 2013
- LEGAL ALERTS/ARTICLES
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Adviser’s Best Execution Failures Result in SEC Enforcement Action
- October 31, 2013
- LEGAL ALERTS/ARTICLES
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Failure to Correct Compliance Program Deficiencies Results in Enforcement Actions Against Three Investment Advisers
- October 31, 2013
- LEGAL ALERTS/ARTICLES