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Our Take Blog

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Our Take Blog
Top 5 Regulatory Alerts for January 2012

Top 5 Regulatory Alerts for January 2012

Our top 5 Regulatory Alerts for January 2012:
1.       SEC Sues Fund Portfolio Manager for Holding Back Valuation Information (1/19/2012)
2.       SEC Staff Allows Related Private Fund Advisers to Rely on Single Registration (1/23/2012)
3.       SEC Staff Provides Guidance on Family Office Registration Rule (1/25/2012)
4.       SEC’s OCIE Issues Risk Alert on Adviser Use of Social Media (1/5/2012)
5.       Fund Sponsor to Pay $300,000 for Not Following Valuation Procedures (1/18/2012)

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