Investment Management Regulatory Update
Client Newsletter

Created date


Industry Update

  • House Passes Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Effect of the U.S. Financial Reform Legislation on Foreign Investment Adviser Registration
  • SEC Denies No-Action Relief, Requiring Broker-Dealer Registration for Entity Providing Investor Referral Services
  • Staff Provides Guidance on Recent Amendments to the Money Market Fund Rule
  • Financial Crisis Inquiry Commission’s “Hedge Fund Industry Market Risk Survey”
  • SEC Discusses Examination and Enforcement Developments

SEC Rules and Regulations

  • SEC Adopts Rule to Curb “Pay-to-Play” Practices


  • Hedge Fund Manager Settles Insider Trading Case with the SEC
  • Federal District Court Dismisses Suit Challenging Asset-Based Compensation Paid to Mutual Fund Distributor