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Hedge Fund Enforcement & Regulatory Developments 2010
Chair(s):
Barry R. Goldsmith
Practice Area:
Hedge funds,
Investment fund management,
Securities and other financial products
Published:
Nov 2010
i
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ISBN:
9781402414954
PLI Item #:
23421
CHB Spine #:
B1851
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent Hedge Fund Enforcement Actions and Developments
Chapter 2. FINRA Fines Terra Nova Financial $400,00; Firm Made Over $1 Million in Improper Soft Dollar Payments (November 23, 2009)
Chapter 3. Alternative Investment Managers: Preparing for SEC Registration
Chapter 4. Hedge Fund Trading-and Investor-Related Compliance Issues and Regulatory Developments
Chapter 5. What Constitutes “Manipulation” or “Disruptive Practices” After Dodd-Frank? A Difficult Set of Standards for Traders to Live by Gets More Difficult
Chapter 6. Avoiding Insider Trading Risks in Fundamental Investment Research
Chapter 7. Gibson Dunn, The Regulation of Advisers to Private Funds: Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (July 16, 2010)
Chapter 8. Gibson Dunn, Derivatives Regulation Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (July 16, 2010)
Chapter 9. Gibson Dunn, The Final “Volcker Rule” Under the Dodd-Frank U.S. Financial Regulatory Reform Bill (July 12, 2010)
Chapter 10. Gibson Dunn, The Dodd-Frank Act Reinforces and Expands SEC Enforcement Powers (July 21, 2010)
Index
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