{"id":44560,"date":"2014-10-15T08:38:52","date_gmt":"2014-10-15T12:38:52","guid":{"rendered":"http:\/\/www.hedgeco.net\/news\/?p=44560"},"modified":"2014-10-15T08:38:52","modified_gmt":"2014-10-15T12:38:52","slug":"sec-takes-a-closer-look-at-hedge-fund-investment-advisers","status":"publish","type":"post","link":"https:\/\/hedgeco.net\/news\/10\/2014\/sec-takes-a-closer-look-at-hedge-fund-investment-advisers.html","title":{"rendered":"SEC Takes A Closer Look At Hedge Fund Investment Advisers"},"content":{"rendered":"<p>New York (HedgeCo.Net) &#8211; Hedge fund regulatory adviser FrontLine Compliance reports that the SEC has been exerting its force with the registered investment adviser community this year. Several enforcement cases made public by the SEC have focused on registered advisers and their principals.<\/p>\n<p>The cases themselves vary regarding allegations, but the message is clear &#8211; investment advisers with weak compliance programs will pay, literally.<\/p>\n<p><a href=\"http:\/\/www.frontlinecompliance.com\/\" target=\"_blank\">FrontLine<\/a> reports some of the cases below:<\/p>\n<p><a href=\"http:\/\/www.hedgeco.net\/news\/wp-content\/uploads\/2014\/10\/Screenshot-2014-10-15-12.36.28.jpg\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter wp-image-44561 size-full\" src=\"http:\/\/www.hedgeco.net\/news\/wp-content\/uploads\/2014\/10\/Screenshot-2014-10-15-12.36.28.jpg\" alt=\"Screenshot 2014-10-15 12.36.28\" width=\"599\" height=\"566\" srcset=\"https:\/\/hedgeco.net\/news\/wp-content\/uploads\/2014\/10\/Screenshot-2014-10-15-12.36.28.jpg 599w, https:\/\/hedgeco.net\/news\/wp-content\/uploads\/2014\/10\/Screenshot-2014-10-15-12.36.28-300x283.jpg 300w\" sizes=\"auto, (max-width: 599px) 100vw, 599px\" \/><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>New York (HedgeCo.Net) &#8211; Hedge fund regulatory adviser FrontLine Compliance reports that the SEC has been exerting its force with the registered investment adviser community this year. Several enforcement cases made public by the SEC have focused on registered advisers [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[12,919,3],"tags":[],"class_list":["post-44560","post","type-post","status-publish","format-standard","hentry","category-hedge-fund-regulation","category-hedge-fund-research","category-hedgeco-news"],"_links":{"self":[{"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/posts\/44560","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/comments?post=44560"}],"version-history":[{"count":1,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/posts\/44560\/revisions"}],"predecessor-version":[{"id":44562,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/posts\/44560\/revisions\/44562"}],"wp:attachment":[{"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/media?parent=44560"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/categories?post=44560"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/hedgeco.net\/news\/wp-json\/wp\/v2\/tags?post=44560"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}