Top 10 Regulatory Alerts - Funds 2010
As 2010 draws to a close, we look back on the most significant regulatory developments for the year. Later this week, we will deliver the Top 10 Regulatory Alerts - Compliance and Operations and the Top 10 Regulatory Alerts - Distribution and Broker-Dealers. Today, we begin our look back with the Top 10 Regulatory Alerts - Funds. For your convenience, the date of each Alert is included so that you can go back and read it again on our blog: blog.cipperman.com.
Top 10 Regulatory Alerts - Funds 2010
1. Supreme Court Creates Enhanced Gartenberg Standard for Fund Fees, Raises Plaintiff’s Burden (3/31/10)
2. Dodd-Frank Eliminates Private Adviser Exemption (7/19/10)
3. Fund Tax Rules Changing (12/22/10)
4. Investment Bank Sued for Failing to Disclose Client’s Role in CDO (4/19/10)
5. Bank to Pay Over $600 Million for Misleading Collective Fund Investors (2/5/10)
6. Ninth Circuit Rejects Private Suits Against Funds Under 13(a) (8/24/10)
7. SEC Staff Tells Funds to Review Derivatives Disclosures (8/2/10)
8. SEC Proposes a Complete Overhaul of Fund Distribution Fees (7/23/10)
9. FASB Proposal Would Require Brokerage Costs in Expense Ratio (6/16/10)
10. SEC Threatens Independent Directors with Enforcement Actions over Fund Fees (12/1/10)
Posted by Todd Cipperman at 12/27/2010 7:31 AM 
Categories: General
Tags: top 10 regulatory alerts funds
Categories: General
Tags: top 10 regulatory alerts funds
Comments