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Hedge Fund Enforcement Issues & Regulatory Developments 2007
Chair(s):
Barry R. Goldsmith
Practice Area:
Corporate law,
Litigation,
Securities and other financial products
Published:
Nov 2007
i
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ISBN:
9781402409776
PLI Item #:
13696
CHB Spine #:
B1637
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Recent Hedge Fund Enforcement Actions and Developments
Chapter 2. Outline of Recent SEC Enforcement Actions
Chapter 3. Redefining Negligence as Fraud: The SEC’s New Rule 206(4)-8
Chapter 4. Handling Securities Problems and Responding to Regulatory Inquiries: The Use of Internal Investigations in the Current Regulatory Environment
Chapter 5. NASD and FINRA Documents
Chapter 6. New Issues and Old Tools; How the SEC is Responding to Insider Trading by Hedge Funds
Chapter 7. Recent SEC Cases Against Hedge Funds
Chapter 8. Practice Notes
Chapter 9. Recent Amendments to Regulation M, Rule 105—An Overview
Chapter 10. Allocating Investment Opportunities in Side-by-Side Trading
Chapter 11. Ethics, Governance and Compliance Challenges Facing Financial Services Attorneys
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