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Hedge Fund Enforcement & Regulatory Developments 2011
Chair(s):
Barry R. Goldsmith
Practice Area:
Enforcement (Securities and other financial products),
Hedge funds,
Investment fund management,
Securities and other financial products
Published:
Nov 2011
i
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ISBN:
9781402416842
PLI Item #:
29756
CHB Spine #:
B1919
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. PLI Hedge Fund Enforcement & Regulatory Developments 2011
Chapter 2. Recent Insider Trading Jury Charges: "Possession" vs. "Use"
Chapter 3. With Hedge Funds a Priority of the SEC's Examination Program, Advisers Need to Know How to Avoid Becoming an "Enforcement Referral"
Chapter 4. New and Continuing Developments in the SEC's Examination and Enforcement Programs (with FINRA Following Suit), NSCP Currents, January/February 2010 Special Reprint
Chapter 5. Gibson Dunn, The SEC Finalizes Its Private Fund Adviser Registration Rules and Related Exemptions (July 18, 2011)
Chapter 6. Dodd-Frank Implications for CPOs and CTAs
Chapter 7. Cooperation Policy Tops Changes in SEC Enforcement Manual, 42 Sec. Reg. & L. Rep. (BNA) 4 (Jan. 25, 2010)
Chapter 8. New SEC Enforcement Unit Focuses on Funds and Advisers, 42 Sec. Reg. & L. Rep. (BNA) 2284 (Dec. 6, 2010)
Chapter 9. K&L Gates Global Government Solutions, 2011 Mid-Year Outlook, As Congress Fails to Deliver on Promises to Fund a Stronger SEC, the Agency Turns to Alternative Strategies
Chapter 10. The SEC's Whistleblower Program & Its Effects on Hedge Funds
Chapter 11. IAA Newsletter, Compliance Corner, Assessing Your Risk Assessment Program: Is Your Review Current? (September 2010)
Chapter 12. SEC Inspections and Examinations in the Post Dodd-Frank World (PowerPoint)
Index
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