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Mutual Funds: Exams/Enforcement (62)
Your search for Mutual Funds: Exams/Enforcement returned 62 results.
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3/22/2019 | Content area: Investment Adviser
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered invest...
3/19/2019 | Content area: Investment Adviser
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
3/19/2019 | Content area: Investment Adviser
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
APA failed to disclose that it and its investment adviser representatives (“IARs”) had a conflict of interest as a result of the additional compensati...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/13/2018 | Content area: Investment Adviser
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not t...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...
11/08/2018 | Content area: Investment Adviser
Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Exa...
9/14/2018 | Content area: Investment Adviser
CA failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rule...
9/13/2018 | Content area: Investment Adviser
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lo...
9/13/2018 | Content area: Investment Adviser
Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party b...
9/11/2018 | Content area: Investment Adviser
This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.
6/21/2018 | Content area: Investment Adviser
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out wh...
5/24/2018 | Content area: Investment Adviser
Asked whether investment advisers should consider the SEC Enforcement Division’s offer to self-report share class allocation issues in exchange for no...
5/02/2018 | Content area: Investment Adviser
If your firm endured an OCIE exam that raised questions about whether clients received the lowest cost mutual fund share class, you can still qualify ...
4/26/2018 | Content area: Investment Adviser
SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securiti...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registere...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection and billing practices by PNCI, a registered investment adviser and broker-de...
4/06/2018 | Content area: Investment Adviser
These proceedings arise from a series of failures by Geneos, a registered investment adviser and broker-dealer, in connection with its mutual fund sha...


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