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Expert Analysis

SEC Actions Against Investment Advisers In 2016: Part 1

By Jon Eisenberg, K&L Gates LLP ( December 16, 2016, 1:09 PM EST) -- The U. S. Securities and Exchange Commission's enforcement program is highly focused on investment advisers for an obvious reason: they manage more than $67 trillion in assets for approximately 30 million clients. [1] In addition, because the SEC examines a far smaller percentage of investment advisers than broker-dealers, and there is no self-regulatory organization, like the Financial Industry Regulatory Authority, that also regulates investment advisers, enforcement plays a prominent role in sending a message to the investment management industry about the areas of concern to the commission. . . .

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