Title

Investment Management Regulatory Update
Client Newsletter

Created date

4/15/2011

Breaking News on Dodd-Frank Private Adviser Registration Deadline
  SEC to Consider Delaying Dodd-Frank Private Adviser Registration Deadline Until First Quarter 2012

SEC Rules and Regulations
  SEC Proposes Amendments to Remove Credit Rating References to Certain Investment Company Act Rules and Forms

Industry Update
  New Form SLT Reporting Requirements Applicable to Funds and Investment Managers Proposed by U.S. Department of Treasury

  SEC’s Division of Investment Management Issues Responses to Questions Concerning Part 2 of Form ADV

  SEC’s Division of Investment Management Answers Questions Concerning Pay-to-Play Rule

  SEC to Bring Cases Against Mutual Funds for Inappropriate Fees
 
Litigation
  SEC Charges Hedge Fund Manager with Securities Fraud for Misappropriating "Side Pocketed" Assets