23 July 2012 |
Investment Management |
Blogs |
17 January 2012 |
New Department of Labor Regulations Offer More Investment Advisers the Opportunity to Provide Advice to Participants in 401(K) Plans and IRAs |
Legal Alerts |
23 September 2011 |
Private Equity Firms Should Prepare for Exemption Changes
Source: Triad Business Journal |
Articles |
20 September 2011 |
Deadline for Meeting the New Investment Adviser Regulatory Requirements Under the Dodd-Frank Act is Quickly Approaching |
Legal Alerts |
09 November 2010 |
SEC Adopts New Form ADV, Part 2 |
Legal Alerts |
30 September 2010 |
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees |
Legal Alerts |
13 July 2010 |
The SEC Targets the Advertising of “Target Date Funds” with New Proposed Rules |
Legal Alerts |
19 January 2010 |
The SEC Amends Custody Rule for Registered Investment Advisers |
Legal Alerts |
11 September 2009 |
Investment Companies May Provide Summary Prospectuses to 401(k) and Other ERISA Plans Offering Their Funds |
Legal Alerts |
12 August 2009 |
UPDATE: IRS Extends Deadline for FBAR Reporting Requirements for Hedge Funds, Private Equity Funds and Similar Commingled Investments |
Legal Alerts |
13 July 2009 |
SEC Proposes Amendments to Money Market Fund Regulation |
Legal Alerts |
25 June 2009 |
UPDATE: IRS Modifies FBAR Reporting Requirements for Hedge Fund and Similar Investments |
Legal Alerts |
24 June 2009 |
Recently Announced FBAR Reporting Requirements for Hedge Fund and Similar Investments – Due June 30, 2009 |
Legal Alerts |
05 March 2009 |
SEC Adopts Revisions to Form D and Mandates Electronic Filing |
Legal Alerts |
17 February 2009 |
Implementing E Proxy in 2009—Some Practical Considerations |
Legal Alerts |
31 December 2008 |
SEC Adopts New Disclosure Rules for Mutual Funds |
Legal Alerts |
25 November 2008 |
Mutual Fund Boards Should Consider Proposed Guidance Regarding Fund Brokerage Trading Practices |
Legal Alerts |
30 April 2008 |
SEC Proposes New Changes to Form ADV Part II |
Legal Alerts |
31 March 2008 |
SEC Accepts Comments Regarding Proposed “Summary Prospectus” and Related Proposed Amendments |
Legal Alerts |
23 January 2008 |
No Private Right of Action Under Section 10(b) Against Third Party Wrongdoers |
Legal Alerts |
10 October 2007 |
Heightened SEC Oversight and New Rules to Benefit Investors |
Legal Alerts |
27 August 2007 |
New Developments in Private Fund Regulation, FINRA and New Proxy Solicitation Rules |
Legal Alerts |
20 July 2007 |
SEC Publishes Compliance Alert |
Legal Alerts |
21 May 2007 |
Court Vacates SEC Rule 202(a)(11)-1 that Excluded Certain Brokers from the Definition of an Investment Adviser Under the Investment Advisers Act of 1940 |
Legal Alerts |
08 February 2007 |
SEC Proposes New Rules Regarding Fraud by Advisers to Pooled Investment Vehicles and Raising the Asset Minimum for “Accredited Investors” to $2.5 million |
Legal Alerts |
04 August 2006 |
SEC Adopts Interpretive Release RE: Soft Dollars Safe Harbor |
Legal Alerts |
01 December 2001 |
Money Managers and Information Technology Outsourcing Agreements
Source: The Investment Lawyer |
Articles |
01 October 2001 |
Leveraging Technology for Knowledge Management
Source: Paper and Panelist |
Articles |
01 July 2001 |
Drafting for a Long-Term Relationship: Money Managers and IT Outsourcing Agreement
Source: Investment Lawyer |
Articles |
01 September 1995 |
Why the Best Interests Standard Should Survive Peterson v. Rogers
Source: North Carolina Law Review |
Articles |
01 June 1995 |
Resolving the Doubt about the True Doubt Rule in Director, Office of Workers' Compensation v. Greenwich Collieries
Source: North Carolina Law Review |
Articles |
