myCorporateResource.com

Friday, May 24th

Last update03:14:03 PM

Just in....
  •  
About Guides FAQs

Font Size

Profile

Layout

Direction

Menu Style

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

Trending ..... Broker-Dealer Faces FCPA, Travel Act and Securities Fraud Charges for Venezuelan Payments ..... SEC Charges City of Harrisburg with Securities Fraud for Fraudulent Public Statements ..... SEC Proposes Rules for Cross-Border Security-Based Swap Activities ..... Ralph Lauren Settles FCPA Charges ..... SEC/CFTC Issue Identity Theft Rules ..... Netflix Report: Regulation FD & Social Media ..... SEC Warns on Use of "Finders" ..... In re Puda Coal: Claims Against Chinese Directors Get Go Ahead ..... SEC Proposes More Tech Rules for Automated Systems ..... Kallick: DE Board Enjoined from Opposing Rival Slate ..... Advisers Falling Short on Custody Rule ..... SCOTUS Rules on Amgen; Materiality for Class Certification ..... Gabelli v. SEC: SCOTUS on Limitations Period for Federal Enforcement Actions ..... SEC's 2013 Adviser Examination Priorities ..... SEC Speaks ..... Say-on-Pay Litigation ..... District Court on SEC's FCPA Reach ..... SEC Eyes Up Private Equity ..... DOJ/SEC Issue FCPA Guidance ..... Iran Sanctions Include SEC Disclosure Mandate .....

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

Dechert: SEC Targets Another Fund Board in Recent Enforcement Case

May 23, 2013 SEC Enforcement Actions

Gibson Dunn: Obama Administration's Fiscal Year 2014 Revenue Proposal Would Facilitate Investment in U.S. Real Property by Foreign Pension Funds

May 23, 2013 REITs & Real Estate Funds

Ropes & Gray: SEC Issues IM Guidance Update on Compliance with Exemptive Orders

May 22, 2013 SEC Enforcement Actions