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Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider

Weiner, Perrie Michael; Hunnius, Patrick; Alexander, Grant - In: The journal of investment compliance 16 (2015) 1, pp. 49-51

Persistent link: https://www.econbiz.de/10011344585

SEC asset management unit’s enforcement priorities for 2015 : conflicts of interest

Weiner, Perrie Michael; Hunnius, Patrick; Crain, Sean R. - In: The journal of investment compliance 16 (2015) 2, pp. 22-25

Persistent link: https://www.econbiz.de/10011405515

Prepare for the magnifying glass: SEC hikes scrutiny of asset managers – 4 steps to consider

Weiner, Perrie Michael; Hunnius, Patrick; Alexander, Grant - In: Journal of Investment Compliance 16 (2015) 1, pp. 49-51

Purpose – To discuss the Securities and Exchange Commission’s (SEC’s) likely preparation of new rules to increase the monitoring and oversight of various asset funds, including hedge funds and alternative mutual funds, and recommends protective measure for fund managers to take....

Persistent link: https://www.econbiz.de/10014893598

SEC asset management unit’s enforcement priorities for 2015 – conflicts of interest

Weiner, Perrie Michael; Hunnius, Patrick; Crain, Sean R. - In: Journal of Investment Compliance 16 (2015) 2, pp. 22-25

Purpose – To address “Conflicts, Conflicts Everywhere,” a speech at the recent IA Watch 17th Annual Compliance Conference by Julie M. Riewe, co-chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit (AMU). Design/methodology/approach – Provide...

Persistent link: https://www.econbiz.de/10014893673