Investment Management Regulatory Update - May 2011
SEC Rules and Regulations
* SEC Proposes Rule Adjusting Performance Fee Asset Thresholds in the Definition of “Qualified Client”
Industry Update
* Banking Regulators and the CFTC Propose Swap Margin and Capital Rules
* Massachusetts Plans to Regulate Expert-Network Firms
* Governor Cuomo Bans Elected Officials, Lobbyists and Placement Agents from NYCRF and “Pay-To-Play”
* International Financial Policymakers Warn of Financial Stability Risks Posed by ETFs
Litigation
* Fifth Circuit Affirms Dismissal of Hedge Fund Investor Suit in Connection with its Withdrawal Rights Following the Departure of a Key Person
* Court Rules an Investment Manager for a Fund Lacks Standing to Pursue Claims on the Fund’s Behalf
This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.
Copy link to share post