Investment Management Regulatory Update - October 2011
Industry Update
- Regulators Release Proposed Regulations Implementing the Volcker Rule
- SEC Grants No Action Relief from Pay-to-Play Recordkeeping Requirements
- SEC Plans to Consider Raising the 500 Shareholder Threshold for SEC Registration
Litigation
- SEC Charges Co-Founder of AXA Rosenberg Group, LLC with Securities Fraud for Concealing Quantitative Investment Modeling Error
- SEC Charges Former Goldman Employee and His Father in First Ever ETF Insider Trading Enforcement Action
- Hedge Fund Directors Under Scrutiny by Cayman Court
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