Investment Management Regulatory Update
Client Newsletter

Created date


Industry Update

  • Senate Passes Restoring American Financial Stability Act
  • Recent Developments Regarding the EU Directive on Alternative Investment Fund Managers
  • California Attorney General Charges ex-CalPERS Executives in Pay-to-Play Scheme
  • SEC’s Donohue Discusses Current Initiatives of the Division of Investment Management


  • CFTC Settles Price Manipulation Charges Against Hedge Fund Moore Capital Management, LP
  • State of New York Charges Investment Adviser with Misleading Clients Regarding Madoff Investments
  • Court Rules That Principal of Sham Hedge Fund, Whose Only “Compensation” Consisted of Misappropriated Investor Funds, Is Appropriately Deemed an Investment Adviser
  • SEC Charges Registered Investment Adviser in Connection with Fraudulent Valuation Practices