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What Investment Advisors Need to Know about the SEC's New Enforcement and Exam Initiatives

28 February 2012

If you were unable to join us for the original seminar on Tuesday, February 28, 2012, you may access the webinar recording and presentation materials below: 

Program Overview
The SEC is focused on investment advisers and investment companies and bringing record numbers of enforcement actions against them. From 2009 to 2011, the number of enforcement actions brought against investment advisers and investment companies rose more than 92%. This trend is only likely to continue. Investment advisers are required to provide more information to the SEC and more private hedge fund and private equity advisers are required to register. In addition, the SEC has new tools to make the most of the new information.

This program examined the recent initiatives and actions announced by the SEC’s Division of Enforcement, particularly its Asset Management Unit, which impact investment advisers and investment companies. The panelists discussed areas of focus identified by the SEC’s Office of Compliance, Investigations, and Examinations and suggested ways to avoid having routine examinations escalate into enforcement investigations.