Title

Investment Management Regulatory Update
Client Newsletter

Created date

3/25/2013

SEC Rules and Regulations

  • SEC Staff Responds to Questions About Form PF

Industry Update

  • SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody Rule
  • SEC’s National Examination Program Releases its Examination Priorities for 2013
  • NFA Amendment Clarifies Rule Prohibiting Loans by Commodity Pools to CPOs '

Litigation

  • Supreme Court Overturns Second Circuit Ruling and Confirms that the Statute of Limitations for SEC Penalty Claims Begins when the Fraud Occurs
  • SEC Charges Hedge Fund Adviser with Fraudulently Raising Capital by Misrepresenting a Fund’s Structure to Investors
  • FINRA Orders Broker-Dealer to Pay more than $11 Million in Restitution and Fines for Late Pricing of Paper Mutual Fund Orders
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