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A Compilation of Enforcement and Non-Enforcement Actions 18 November 2009 Legal News: Investment Management Update Non-Enforcement Matters Supreme Court Hears Case on Allegedly Excessive Investment Advisory Fees Earlier this month, the United States Supreme Court (Court) heard...
A Compilation of Enforcement and Non-Enforcement Actions 27 February 2013 Legal News: Investment Management Update Non-Enforcement Matters Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures Mutual Fund Boards and Oversight of Fair...
A Few New Enforcement Priorities for FINRA 31 January 2013 Securities Law360 Partners Richard Wallace and Joseph Edmondson authored an article that appeared in Securities Law360 on January 31, 2013 titled "A Few New Enforcement Priorities...
The Fact Pattern Behind the Boeing Class Action Grounding 02 April 2013 Law360 Partner Bryan House authored an article that appeared in Law360 on April 2, 2013 titled "The Fact Pattern Behind The Boeing Class Action Grounding."
A Compilation of Enforcement and Non-Enforcement Actions 28 March 2013 Legal News: Investment Management Update Non-Enforcement Matters Recent Newsworthy Remarks by the SEC SEC Issues “Alert” on the Custody Rule Securities Exchange Act Issues for Exchange-Traded...
A Compilation of Enforcement and Non-Enforcement Actions 31 January 2013 Legal News: Investment Management Update Non-Enforcement Matters FINRA Announces Regulatory and Examination Priorities for 2013 SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement...
Top Ten SEC Enforcement Developments of 2012 04 March 2013 Bloomberg BNA's Securities Regulation & Law Report Partners Marc Dorfman and Ellen Wheeler authored an article that appeared in Bloomberg BNA's Securities Regulation & Law Report titled "Top Ten SEC Enforcement...
A Compilation of Enforcement and Non-Enforcement Actions 30 April 2013 Legal News: Investment Management Update Non-Enforcement Matters Legislation Reintroduced to Charge Investment Advisor User Fees SEC Examination Program for Newly Registered Investment Advisers...
A Few New Enforcement Priorities for FINRA 04 February 2013 Legal News Alert: Securities Enforcement & Litigation The enforcement mission of the Financial Industry Regulatory Authority is, by design, a public one. Not only does it publicize the filing, settlement and adjudication...
EU Competition Compliance Program Implications for U.S. Companies 23 October 2012 Legal News Alert: Antitrust Acting to rid European Union markets of restrictive trade practices like seemingly endemic industrial cartels, the European Commission has long sought to employ...