Top 5 Regulatory Alerts November 2011
- SEC Sanctions Three Firms for Inadequate Compliance Programs (11/29/11)
- Fund Adviser to Pay Over $3.3 Million for Failing to Oversee Sub-Adviser (11/17/11)
- SEC Enforcement Statistics Reach New Records (11/10/11)
- SEC Releases 42-Page Form PF for Private Fund Information Filing (11/1/11)
- Massachusetts Re-Proposes Registration Rule for 3(c)(1) Fund Managers (11/16/11)
An archive of Regulatory Alerts is available at http://blog.cipperman.com.
Cipperman Compliance Services provides CCO and compliance services to registered funds and money managers. We customize compliance solutions to fit your business: full or partial compliance outsourcing, consulting engagements, and tailored compliance tools. Cipperman & Company is a unique law firm devoted exclusively to the investment management industry.. We work on a wide range of transactional and regulatory matters, but we concentrate on four core areas: Fund Formation, Distribution, Compliance, and Technology.
Todd Cipperman, Esq.
Cipperman & Company
500 E. Swedesford Road
Suite 104
Wayne, PA 19087
610.687.5320
tcipperman@cipperman.com
www.cipperman.com
If you no longer wish to receive e-mail alerts, please respond to this e-mail accordingly. Nothing herein should be construed as legal advice. This e-mail may constitute an advertisement under U.S. law. This message and any attachments may contain confidential or privileged information and are only for the use of the intended recipient of this message. If you are not the intended recipient, please notify the sender by return email, and delete or destroy this and all copies of this message and all attachments. Any unauthorized disclosure, use, distribution, or reproduction of this message or any attachments is prohibited and may be unlawful.
Cipperman & Company
500 E. Swedesford Road
Suite 104
Wayne, PA 19087
610.687.5320
tcipperman@cipperman.com
www.cipperman.com
If you no longer wish to receive e-mail alerts, please respond to this e-mail accordingly. Nothing herein should be construed as legal advice. This e-mail may constitute an advertisement under U.S. law. This message and any attachments may contain confidential or privileged information and are only for the use of the intended recipient of this message. If you are not the intended recipient, please notify the sender by return email, and delete or destroy this and all copies of this message and all attachments. Any unauthorized disclosure, use, distribution, or reproduction of this message or any attachments is prohibited and may be unlawful.
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