The following is our monthly featured post from Terry Nelson, Peter Fetzer and Michael Dana of Foley & Lardner filling you in on the latest developments affecting investment advisers, hedge funds, and mutual funds. Highlights this month include:
- New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
- FINRA Rule 5123 Revisited
- SEC Accuses Hedge Fund Manager of “Cherry Picking” at the Expense of Clients’ Interests
- SEC Charges Funds’ Board of Directors Individually for Failure to Fulfill Their Fair Pricing Obligations to Fund Investors
Click here for the complete Investment Management Update.