Investment Management Law
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Recent Posts
Adviser Defrauded Client by Overvaluing Firm’s Equity, SEC Charges
Thursday, May 31, 2012
Weak Compliance Function Results in $3.1 Million Payment and Bar for Hedge Fund Sponsor
Wednesday, May 30, 2012
Master Fund May Deduct Feeder Fund Assets when Calculating Registration Fees
Tuesday, May 29, 2012
SEC Charges Sponsor of Feeder Fund that Invested in Ponzi Scheme
Thursday, May 24, 2012
FINRA Says that Brokers Must Put Clients’ Interests First
Wednesday, May 23, 2012
Khuzami Defends and Explains SEC’s Settlement Practices
Monday, May 21, 2012
Best of the Web - May 2012
Friday, May 18, 2012
NYS’s Highest Court Rules that Compliance Officers Can’t Sue for Wrongful Termination
Thursday, May 17, 2012
OCIE’s Deputy Director Announces Exam Sweep of Private Fund Advisers
Wednesday, May 16, 2012
SEC Sues to Obtain Audit Work Papers from Chinese Firm
Tuesday, May 15, 2012
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
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NYS Attorney General Says that Law Firm Introductions Required BD Registration
10/14/2010
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Donohue Says that BD Registration is Required for Private Fund Intermediaries
9/9/2010
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FINRA Proposes Simplified Rule Governing Personal Securities Transactions
8/26/2010
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NY AG Sues Adviser Alleged to Have Suspected Madoff Fraud Back in 1997
8/26/2010
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SEC Charges Private Equity Execs with Securities Fraud
8/26/2010
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FINRA Proposes New Compliance Exam Along with Other Changes to Registration/Qualification Requirements
8/23/2010
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Ketchum Wants Firms to Segregate Advisory Activities
7/22/2010
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Ketchum Wants Firms to Segregate Advisory Activities
6/23/2010
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FINRA Expands Regulatory Jurisdiction to NYSE
5/5/2010
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Investment Management Law: Monthly Archives for February 2012
SEC Proposes Red Flags Rule Requiring Identity Theft Programs
Posted by Todd Cipperman at
2/29/2012 6:57 AM
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SEC's OCIE Issues Risk Alert on Unauthorized Trading
Posted by Todd Cipperman at
2/28/2012 6:06 AM
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SEC Chairman Lauds Examination, Enforcement and Registration Uptick
Posted by Todd Cipperman at
2/27/2012 6:38 AM
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Federal Court Says that Madoff Trustee Can’t Use RICO against Feeder Funds
Posted by Todd Cipperman at
2/24/2012 6:37 AM
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Court Upholds Permanent Bar Even Though Rules Changed
Posted by Todd Cipperman at
2/23/2012 6:59 AM
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FINRA Considering Adding More Information to BrokerCheck
Posted by Todd Cipperman at
2/22/2012 7:02 AM
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SEC Raises Bar for Charging Performance Fees
Posted by Todd Cipperman at
2/21/2012 7:27 AM
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New CFTC Rule Will Require CPO Registration for Many Fund Managers
Posted by Todd Cipperman at
2/14/2012 7:42 AM
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Mid-Sized Advisers with Fewer than 5 Clients Must Register with the SEC
Posted by Todd Cipperman at
2/13/2012 7:34 AM
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Managers of 3(c)(1) Funds in Massachusetts Must Register by August 3
Posted by Todd Cipperman at
2/10/2012 6:59 AM
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SEC Files Notice of RIA Cancellation for Insufficient Assets
Posted by Todd Cipperman at
2/9/2012 6:20 AM
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BD to Pay $1 Million Fine for Requiring Employees to Waive Arbitration
Posted by Todd Cipperman at
2/8/2012 6:25 AM
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Fund Service Provider Employees Do Not Get SOX Whistleblower Protection
Posted by Todd Cipperman at
2/7/2012 6:38 AM
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SEC's di Florio Calls Out Senior Management and Boards
Posted by Todd Cipperman at
2/6/2012 7:16 AM
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Top 5 Regulatory Alerts for January 2012
Posted by Todd Cipperman at
2/3/2012 6:39 AM
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FINRA Sues BD for Including Class Action Waiver in Client Agreement
Posted by Todd Cipperman at
2/2/2012 7:20 AM
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FINRA Releases Exam Priorities List; Announces Risk Survey
Posted by Todd Cipperman at
2/1/2012 6:55 AM
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