Search Results for:
Peter D Fetzer
(113)
- Page 3
ARTICLES(113)
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No Rush to Advertise by Hedge Funds
- October 31, 2013
- LEGAL ALERTS/ARTICLES
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Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers
- October 31, 2013
- LEGAL ALERTS/ARTICLES
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Counterparty Risk Management Practices for Mutual Funds
- October 01, 2013
- LEGAL ALERTS/ARTICLES
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Late Trading Violation by Investment Adviser
- October 01, 2013
- LEGAL ALERTS/ARTICLES
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SEC Charges 23 Registrants with Rule 105, Regulation M Violations
- October 01, 2013
- LEGAL ALERTS/ARTICLES
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SEC to Monitor Fund Performance Claims
- October 01, 2013
- LEGAL ALERTS/ARTICLES
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Suit Against Exchange Traded Funds’ Investment Adviser Dismissed
- October 01, 2013
- LEGAL ALERTS/ARTICLES
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Adviser Subject to Enforcement Action for Misleading Fund’s Board
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Advisers Need to Revisit Their Business Continuity Plans
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Private Fund Issuers’ Use of New SEC Rule 506(c) Hardly a “Slam Dunk”
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Registered Adviser Sanctioned for Failure to Supervise Associated Person
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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High-Profile Failure to Supervise Case Commenced by SEC
- August 01, 2013
- LEGAL ALERTS/ARTICLES
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Implementation of FATCA Reporting and Withholding Requirements Delayed Again
- August 01, 2013
- LEGAL ALERTS/ARTICLES
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Incentive for Whistleblowers to Bypass Internal Reporting
- August 01, 2013
- LEGAL ALERTS/ARTICLES
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Insider Trading in Mutual Fund Shares
- August 01, 2013
- LEGAL ALERTS/ARTICLES
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SEC Announces Compliance Outreach Sessions
- August 01, 2013
- LEGAL ALERTS/ARTICLES
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Adviser Who Charged Clients Excessive Management Fees Sanctioned by the SEC
- July 03, 2013
- LEGAL ALERTS/ARTICLES
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Investment Advisers and Investment Companies Admonished to Adhere to Terms of Exemptive Orders
- July 03, 2013
- LEGAL ALERTS/ARTICLES
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JOBS Act Fraud Case Results in Injunction
- July 03, 2013
- LEGAL ALERTS/ARTICLES
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Re: Possible SRO for Investment Advisers and Fiduciary Standard for Broker-Dealers - What Others Are Saying
- July 03, 2013
- LEGAL ALERTS/ARTICLES
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Father and Son Charged by SEC With Cherry Picking Over the Interests of Clients
- June 05, 2013
- LEGAL ALERTS/ARTICLES
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Fund Manager Agrees to Be Barred From the Securities Industry in Connection With Misappropriating Fund Assets
- June 05, 2013
- LEGAL ALERTS/ARTICLES
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Investment Management Guidance on Social Media Filings
- June 05, 2013
- LEGAL ALERTS/ARTICLES
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Board Oversight of Distribution and Financial Intermediaries
- June 04, 2013
- LEGAL ALERTS/ARTICLES
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New Identity Theft Rules
- June 04, 2013
- LEGAL ALERTS/ARTICLES
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Legislation Reintroduced to Charge Investment Advisor User Fees
- May 02, 2013
- LEGAL ALERTS/ARTICLES
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Misrepresenting AUM Leads to SEC Charges
- May 02, 2013
- LEGAL ALERTS/ARTICLES
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Recent Developments Spell Relief From FATCA Reporting Requirements for Managers of Certain Offshore Funds
- May 02, 2013
- LEGAL ALERTS/ARTICLES
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SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern
- May 02, 2013
- LEGAL ALERTS/ARTICLES
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SEC Initiates Enforcement Action against Adviser for Fraudulent Advertisement
- May 02, 2013
- LEGAL ALERTS/ARTICLES