Investment Management Law: Top 10 Regulatory Alerts â€“ Funds 2011

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Investment Management Law: Top 10 Regulatory Alerts â€“ Funds 2011

Top 10 Regulatory Alerts â€“ Funds 2011

As 2011 draws to a close, we look back on the most significant regulatory developments for the year. Yesterday, we delivered the Top 10 Regulatory Alerts â€" Compliance and Operations and tomorrow we will provide the Top 10 Regulatory Alerts - Distribution and Broker-Dealers. Today, we look back on the Top 10 Regulatory Alerts â€" 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 â€" Funds 2011

1. Supreme Court Says that Investment Adviser Canâ€™t Be Sued for Misleading Fund Prospectus (6/14/2011)

2. Federal Court Vacates SEC Rule Requiring Shareholder Nominations (7/25/2011)

3. ICI and IDC Issue Paper on Board Oversight of Risk Management (10/5/2011)

4. New Qualified Client Standards Take Effect on September 19 (7/13/2011)

5. SEC Uses Outlier Returns to Identify Risky Hedge Funds (12/5/2011)

6. Fund Adviser to Pay Over $3.3 Million for Failing to Oversee Sub-Adviser (11/17/2011)

7. Fair Valuation Failures Result in $100 Million in Fines and Restitution for Mutual Fund Sponsor (7/6/2011)

8. Federal Court Rules that Private Plaintiffs Can't Sue Under Compliance Rule (6/15/2011)

9. SEC Sues Independent Directors for Accounting and Disclosure Fraud (3/1/2011)

10. SEC Wonâ€™t Allow Private Funds to Use Non-PCAOB Audit Firms (1/5/2011)

Posted by Todd Cipperman at 12/29/2011 7:34 AM

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