Julie Riewe and Asset Management Unit - Free people check

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Broadridge Adds Fourth Senior Manager from Asset Control

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... of the enforcement division's asset management unit, joining co-chief Marshall Sprung and succeeding Julie Riewe, who left the agency last month. › broadridge-adds-fourth-seni...

JPMorgan Executives Deposed In SEC Asset-Management ...

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Mar 31, — ... of conflicts cases for enforcement action,” said the co-chief of the SEC Enforcement division's asset management unit, Julie Riewe. › news › jpmorgan-executives...

OCIE Publishes Risk Alert Regarding Recent Focus Areas in ...

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Jul 17, — 3) Asset Management Unit (AMU) Co-Chief Julie Riewe, Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance ... › legalnews › ocie-publishes-r...

Oberlin Endowment Chair Charged with Fraud - ai-CIO.com

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Jul 5, — ... especially when it involves illiquid securities,” said Julie Riewe, co-head of the SEC Enforcement Division's asset management unit. › News › Regulation

Annabelle Ju, Author at Infrastructure Investor

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Partner Julie Riewe, who was a former SEC asset management unit co-chief, thinks there isn't much upside for GPs to self-report compliance issues to the ... › author › anna...

T.J. Maloney's Private Equity Firm Pays $2.3 Million To Settle ...

www.forbes.com

Sep 22, — ... of expenses between the two companies,” said Julie Riewe, co-chief of the SEC enforcement division's asset management unit. › nathanvardi › › t...

Hedge Funds: Structure, Strategies, and Performance

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In a speech at an Investment Advisor Compliance Conference, Julie Riewe, cochief of the Asset Management Unit, Division of Enforcement of the SEC, ...

Highlights from SEC Speaks 2015: enforcement and litigation trends -...

www.lexology.com

Julie Riewe, Co-Chief of the Asset Management Unit, highlighted the Unit's growth in each of the twelve SEC offices across the country and ...

Highlights from SEC speaks Lexology

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Bruce Karpati, Chief, Asset Management Unit (AMU), and Julie Riewe, Deputy Chief, AMU, gave an update on their unit's activities this year.

22, Investment Adviser Considerations for Retail (TA:7)

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Mar 21, — Enforcement's Asset Management Unit, succeeding Julie Riewe after her departure in. February Mr. Kelly began his career with the SEC ... › supplemental

The CPA Journal

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announced that Julie Riewe, co-direc tor of the Enforcement Division's asset management unit, will step down in. February. Riewe oversaw a number of. › media › documents

“You should assume that the information will be conveyed to ...

www.bellnunnally.com

Apr 16, — Asset Management Unit co-chief Julie Riewe. Kirkland & Ellis partner and former SEC Division of. Investment Management director Norm Champ ... › files › Documents

Are you adequately disclosing your conflicts of interest?

web.foreside.com

Jul 14, — ... Julie Riewe, Co-Chief of the Asset Management Unit within the Division of Enforcement (“AMU”), stated that, in nearly every ongoing ... › blog › adequately-disclosing...

Debevoise to Add SEC Veteran Kristin Snyder as White Collar ...

money.yahoo.com

Feb 8, — ... a former federal prosecutor and co-managing partner of the office, and Julie Riewe, former Co-Chief of the Asset Management Unit of the ... › debevoise-add-sec-veteran-...

Compliance Corner | Norton Rose Fulbright | Global law firm

www.nortonrosefulbright.com

In a February address to the IA Watch 17th Annual Compliance Conference, [1] Julie Riewe, Co-Chief of the Asset Management Unit of the Division of ... › publications › c...

Anthony Kelly Named Co-Chief of Asset Management Unit

www.sec.gov

Mar 10, — He joins Marshall Sprung as Co-Chief of the unit and succeeds Julie Riewe, who left the agency last month. Mr. Kelly has investigated or ... › news › press-release

Conflicts of Interest – Beach Street Legal LLC

beachstreetlegal.com

In her remarks to the IA Watch 17th Annual IA Compliance Conference in February, Julie Riewe, Co-Chief of the SEC's Asset Management Unit within the ... › tag › conflicts-of-interest

Highlights from SEC Speaks | Publications - Vedder Price

www.vedderprice.com

Feb 26, — Bruce Karpati, Chief, Asset Management Unit (AMU), and Julie Riewe, Deputy Chief, AMU, gave an update on their unit's activities this year. › highlights-from-sec-spe...

SEC Raises Conflicts-of-Interest Concerns - Yarden Law Firm

www.yardeninvestmentlaw.com

Feb 26, — In a speech delivered today entitled “Conflicts, Conflicts Everywhere,” Julie Riewe (Co-Chief of the SEC's Asset Management Unit – Division ... › sec-raises-conf...

SEC Targets Conflicts of Interest, Cybersecurity - Markets Media

www.marketsmedia.com

Mar 19, — 26 speech, Julie Riewe, co-chief of the SEC's Asset Management Unit, said that the agency anticipates bringing enforcement actions against ... › sec-targets-conflicts-o...

SEC Warns of Advisors Duping Investors With Fake Credentials

www.thinkadvisor.com

Jun 3, — ... of a potential investment,” said Julie Riewe, co-chief of the SEC Enforcement Division's Asset Management Unit, in a statement. › › sec-warns-...

SEC examining 12b-1 fees - BenefitsPRO

www.benefitspro.com

Apr 8, — Wyatt was joined on the panel by Julie Riewe, co-chief of the Asset Management Unit within the SEC's Enforcement Division. ›

SEC fines hedge fund advisor for inflating mortgage bond prices

www.housingwire.com

Jul 2, — ... especially when it involves illiquid securities,” said Julie Riewe, co-chief of the SEC Enforcement Division's Asset Management Unit. › articles › sec-fin...

SEC's Riewe to step down | Private Funds CFO

www.privatefundscfo.com

Jan 12, — Julie Riewe is leaving the US Securities and Exchange Commission (SEC) Division of Enforcement's Asset Management Unit in February, ... › secs-riewe-to-step-d...

The 15(c) Process Continues to Be a Focus of the SEC ...

www.dechert.com

Aug 13, — Julie Riewe, Co-Chief, Asset Management Unit, Division of Enforcement, Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual ... › ...

The U.S. Securities and Exchange Commission

www.lcldnet.org

Nov 5, — Julie Riewe, Co-Chief, Enforcement, Asset Management Unit. Ceremonial Room. (Room ). Office of the. Investor Advocate. 1:45 – 2:15 pm. › uploads › resource ›

WAMCO reaches settlements with SEC, DOL

www.pionline.com

Jan 27, — While cross trades can serve a legitimate purpose, said Julie Riewe, co-chief of the SEC enforcement division's asset management unit, ... › article › ONLINE › wamco-re...

Web Issue – Page Compliance Week

www.complianceweek.com

SEC Names Julie Riewe and Marshall Sprung to Lead Asset Management Unit. Jul 4, weinberger-mark_ _8 · Blog post · 'What Did You EY? › web-issue

With a Remarkable Roster of SEC Talent, Debevoise Is ...

www.law.com

Jun 23, — It was a similar attraction that brought Julie Riewe to the firm in Riewe worked with Kaplan within the Asset Management Unit and ... › americanlawyer › › wi...

Barclays fined twice in one day - Business World Ghana

www.businessworldghana.com

Julie Riewe, co-head of the asset management unit in the SEC's enforcement division, said in a statement. Barclays earned extra revenue of ...

SEC.gov | National Seminar Speaker Biographies

www.sec.gov

Julie Riewe. Julie M. Riewe is Co-Chief of the Asset Management Unit in the SEC’s Division of Enforcement. Prior to her appointment as Co-Chief in July 2013, she ...

Commentaries - Navigating Bridges: Timely Updates in Financial...

www.bridgingtheweek.com

Julie Riewe, Co-Chief, Asset Management Unit (AMU) for the Division of Enforcement of the Securities and Exchange Commission, discussed ...

Ex-Oppenheimer P.E. Manager Barred | FINalternatives

www.finalternatives.com

... committing to long-term private-equity investment," Julie Riewe, who heads the SEC enforcement division's asset management unit, said.

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Julie Riewe and Asset Management Unit Free People Check