Investment Management Regulatory Update - March 2013
SEC Rules and Regulations
- SEC Staff Responds to Questions About Form PF
Industry Update
- SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody Rule
- SEC’s National Examination Program Releases its Examination Priorities for 2013
- NFA Amendment Clarifies Rule Prohibiting Loans by Commodity Pools to CPOs ‘
Litigation
- Supreme Court Overturns Second Circuit Ruling and Confirms that the Statute of Limitations for SEC Penalty Claims Begins when the Fraud Occurs
- SEC Charges Hedge Fund Adviser with Fraudulently Raising Capital by Misrepresenting a Fund’s Structure to Investors
- FINRA Orders Broker-Dealer to Pay more than $11 Million in Restitution and Fines for Late Pricing of Paper Mutual Fund Orders
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