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19 Jan 2011, 1:17 pm
For most firms this will mean that they will also need to draft and submit the new Form ADV 2 which was adopted by the SEC in July of 2010 (see previous post). [read post]
18 Jan 2011, 9:35 am
” [2] SeeGibson, Dunn & Crutcher Client Alert, The Dodd-Frank Act Reinforces and Expands SEC Enforcement Powers (July 21, 2010) [read post]
14 Jan 2011, 2:11 am
"Had Plaintiffs been made aware of Bloom's fraud in June or July 2005, they would have withdrawn from the Fund immediately," the complaint alleges. [read post]
12 Jan 2011, 8:26 am
On July 27, 2010, the PTO released interim guidelines detailing the appropriate steps for determining whether process claims are patentable material under Bilski. [read post]
12 Jan 2011, 8:26 am
On July 27, 2010, the PTO released interim guidelines detailing the appropriate steps for determining whether process claims are patentable material under Bilski. [read post]
11 Jan 2011, 4:55 pm
The firm now manages about $9.2 billion in assets, up from $6.9 billion in July 2010. [read post]
8 Jan 2011, 12:01 pm
Dodd-Frank may require many US and non-US private equity fund managers and advisers to register with the SEC by July of 2011. [read post]
3 Jan 2011, 6:00 am
For further background on the Dodd-Frank Act provisions that these proposed rules would implement, please see our memoranda entitled “United States Adopts Historic Revision of Financial Services Regulation”[2] and “Implications of Financial Services Reform for Hedge Funds and Private Equity Funds. [read post]
3 Jan 2011, 5:45 am
At the July 31, 2009, trial of that case, the court received the expert testimony of Suffolk law professor Joseph Franco of Suffolk University Law School that, according to the court’s summary, ” the regulatory scheme directly serves the identified governmental interest, and that none of the alternatives would do so as effectively. [read post]
31 Dec 2010, 11:26 am
For the full SEC release, please see SEC Extends Compliance Deadline for ADV Part 2. **** Other related articles: New Form ADV Part 2 Important Hedge Fund Articles Bart Mallon Esq. is a hedge fund attorney and provides hedge fund compliance services through Mallon P.C. [read post]
30 Dec 2010, 6:00 am
In July 2010 however following publication of CRD3, the FSA published CP 10/19 to consult on a revised version of the Code which would extend the application of the Code to almost 2,500 firms and introduce twelve new remuneration principles[7]. [read post]
19 Dec 2010, 5:16 pm
The proposed prohibition on hedging applies to entry into arrangements on or after commencement (1 July 2011), irrespective of whether the remuneration was for services rendered before, on or after 1 July 2011. [read post]
17 Dec 2010, 1:25 pm
The proposal is part of the effort to increase oversight of the over-the-counter derivatives market as required of the CFTC under the Dodd-Frank bill passed in July. [read post]
9 Dec 2010, 11:00 am
Specifically: In July 2003, Lynch, through consulting firm LW Strategies, LLC, met with pension fund staff for the purpose of persuading the pension fund to retain an investment with a LW Strategies client. [read post]
6 Dec 2010, 8:51 am
IA-3111 (November 19, 2010), available at http://www.sec.gov/rules/proposed/2010/ia-3111.pdf (the “exemptions release”). [2] This memorandum, published on July 19, 2010, is available here. [read post]
3 Dec 2010, 6:43 am
Goldman cleared trades for the hedge fund for years. [read post]
27 Nov 2010, 1:33 am
On July 22, 2010, H.R. 4213, Unemployment Compensation Extension Act of 2010, Pub. [read post]
24 Nov 2010, 1:08 pm
Along the way to the CAFC, Microsoft sought ex parte reexamination of the ‘449 Patent (90/010,347), largely as an afterthought to hedge against a willfulness finding. [read post]
23 Nov 2010, 9:24 am
Complexity We Eschew at Good Old… Mandelman U. [read post]
23 Nov 2010, 3:00 am
Note: On 18 July 2011 the first prosecution under this ban was carried out: see our post on the case here. [read post]
