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You are here: SEC & Securities Law Registered Investment Funds Ropes & Gray: Investment Management Update: October-November 2012

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ropesgraylogoInvestment Management Update: October-November 2012

Ropes & Gray
November 26, 2012
9 pages

In this Issue:

  • D.C. District Court Vacates and Remands CFTC’s Position Limits Rule
  • SEC Staff Provides Guidance on Combining Administration and Advisory Agreements
  • Court Denies AXA’s Motion to Dismiss Excessive Fee Suit
  • Supreme Court to Review Statute of Limitations in Civil Penalty Case
  • CFTC Releases Enforcement Division’s Annual Results
  • SEC Announces Presence Exam Initiative
  • FinCEN Proposal Seeks to Strengthen Customer Due Diligence Requirements
  • Jury Clears Reserve Primary Managers of Fraud Charges in SEC Case

Registered Funds & Broker-Dealers