Roundtable Road Show

2015 SEC Examination and Enforcement Trends for Investment Advisers

February 2015

As the U.S. Securities and Exchange Commission (SEC) continues its pursuit of "broken windows" enforcement and its focus on the asset-management industry, the complexities of compliance continue to grow. Our team of Securities Enforcement and Investment Management lawyers discussed new areas of focus in 2015 and also took a look back at notable developments in 2014.

Topics included:

  • The continuing focus on dual registrants, investment advisers, and investment companies
  • The close coordination between the Office of Compliance Inspections and Examinations and enforcement
  • Ongoing examination initiatives and sweeps
  • Selected 2014 enforcement cases and examination priorities for 2015