K&L Gates, a widely respected, global law firm, practicing in many areas including Financial Services recently published an interesting Alert outlining the 15 areas that lead to enforcement actions against investment advisers in the first 10 months of 2015. Many of these 15 areas are what we have heard about in past years. However, they continue to surface as deficiencies. As a result, I thought it important to include this Alert here: SEC Enforcement Actions against Investment Advisers for 2015 for your careful review. How does your investment advisory firm’s policies and procedures measure against the 15 topics mentioned? Would you be in violation and subject to a regulatory enforcement action?
