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Our Take Blog

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Our Take Blog
Top 5 Regulatory Alerts November 2011

Top 5 Regulatory Alerts November 2011

  1. SEC Sanctions Three Firms for Inadequate Compliance Programs  (11/29/11)
  2. Fund Adviser to Pay Over $3.3 Million for Failing to Oversee Sub-Adviser (11/17/11)
  3. SEC Enforcement Statistics Reach New Records (11/10/11)
  4. SEC Releases 42-Page Form PF for Private Fund Information Filing (11/1/11)
  5. Massachusetts Re-Proposes Registration Rule for 3(c)(1) Fund Managers (11/16/11)
An archive of Regulatory Alerts is available at http://blog.cipperman.com.
Cipperman Compliance Services provides CCO and compliance services to registered funds and money managers. We customize compliance solutions to fit your business: full or partial compliance outsourcing, consulting engagements, and tailored compliance tools. Cipperman & Company is a unique law firm devoted exclusively to the investment management industry.. We work on a wide range of transactional and regulatory matters, but we concentrate on four core areas: Fund Formation, Distribution, Compliance, and Technology.
Todd Cipperman, Esq.
Cipperman & Company
500 E. Swedesford Road
Suite 104
Wayne, PA 19087
610.687.5320
tcipperman@cipperman.com
www.cipperman.com

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480 E. Swedesford Road, Suite 220, Wayne, PA 19087
610-687-5320
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