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Expert Analysis

8 Types Of SEC Investment Adviser Actions In 2015

Law360, New York (January 5, 2016, 11:57 AM EST) -- Investment advisers manage over $60 trillion in assets.[1] Not surprisingly, they attract a great deal of attention from the U.S. Securities and Exchange Commission's Enforcement Division. Recent SEC enforcement actions provide the best guidance on the ways investment advisers run afoul of their fiduciary and other obligations. In this two-part article, we have organized last year's SEC enforcement actions against investment advisers into the following categories, each of which we discuss below:...

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