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SEC Enforcement Summary

In a March alert entitled SEC Speaks 2012: An Entrepreneurial and Restructured SEC pledges Proactive Enforcement, the law firm of Weil Gotshal and Manges highlighted recent remarks made by SEC officials at an annual conference called SEC Speaks.  The document summarizes remarks from SEC Chairman Mary Schapiro, Director of the Division of Enforcement Robert Khuzami, and other members of the SEC staff.  Fund directors may be interested in the remarks of Bruce Karpati, Co-Chief of the Division of Enforcement's Asset Management Unit.  Mr. Karpati stated that there were a record number of cases against investment advisers and hedge fund advisers in 2011, and that he expected 2012 to also be "active."  Further, he stated that individuals with significant industry experience, including mutual fund operations personnel and portfolio managers, have provided helpful insights to the SEC staff.

The complete summary is available at http://www.weil.com/files/upload/Securities_Enforcement_Alert_March_2012.pdf.

 

 

 

 
 
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