Investment Management Law: Top 10 Regulatory Alerts â€“ Compliance and Operati ons 2011

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Investment Management Law: Top 10 Regulatory Alerts â€“ Compliance and Operati ons 2011

Top 10 Regulatory Alerts â€“ Compliance and Operati ons 2011

As 2011 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 - Funds and the Top 10 Regulatory Alerts - Distribution and Broker-Dealers. Today, we begin our look back with the Top 10 Regulatory Alerts â€" Compliance and Operations. 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 â€" Compliance and Operations 2011

1. Private Equity and Hedge Fund Managers Must File ADVs by February 14, 2012 (6/23/11)

2. SEC Adopts Expansive Whistleblower Rules (5/26/11)

3. SEC Sanctions Three Firms for Inadequate Compliance Programs (11/29/11)

4. SEC Enforcement Statistics Reach New Records (11/10/11)

5. SEC Releases 42-Page Form PF for Private Fund Information Filing (11/1/11)

6. Federal Court Rules that FINRA Canâ€™t Sue to Enforce Fines (10/10/11)

7. SEC Adopts Large Trader Filing and Reporting Requirements (7/27/11)

8. CFTC Adopts Expansive Anti-Fraud Rule for Swaps and Commodities (7/8/11)

9. Faulty Computer Coding and Inadequate Compliance Blamed for $200 Million Client Losses (2/7/11)

10. SEC Staff Delivers Study on Adviser Examinations (1/20/11)

Posted by Todd Cipperman at 12/28/2011 9:11 AM

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