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The Investment Lawyer articles from March 2004
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The Investment Lawyer archives from March 2004
New SEC Rule 206(4)-7--compliance programs for investment advisers.
March 1, 2004... The Securities and Exchange Commission's new rule, Rule 206(4)-7, that registered investment advisers maintain comprehensive compliance programs to prevent violations of the Investment Advisers Act of 1940 (the Act) and the rules thereunder...
Highlights of this issue.(Editorial)
March 1, 2004... Our three articles this month focus on very distinct regulatory matters: the Securities and Exchange Commission's new rule on investment adviser compliance programs; the NASD's new rule governing new issues of securities; and new German...
Regulating IPO allocations: Rule 2790 replaces the free-riding and withholding interpretation.(initial public offering)
March 1, 2004... In late 1970, the National Association of Securities Dealers (NASD) introduced the Free-Riding and Withholding Interpretation (the Interpretation) premised on NASD Rule 2110, which governs the standards of commercial honor and principles of...
Hedge funds as regulated investment products: German and European developments.
March 1, 2004... Not only in the United States are hedge funds currently one of the most prominent issues in the regulation of the asset management industry. (1) Around the globe, in recent years legislatures and regulators have re-assessed their approach...
Investment Company self-custody.(Regulatory Monitor)(Securities and Exchange Commission)(Brief Article)
March 1, 2004... The SEC will not object under Section 17(f) of the Investment Company Actor Rule 17f-2 thereunder if a bank provides custodial and subadvisory services for certain portfolios of a registered open-end management investment company, without the...
Exception from Investment Company registration.(Brief Article)
March 1, 2004... The SEC will not require a limited liability company to register as an investment company, under Section 3(c)(1)(A) of the Investment Company Act, if the limited liability company was established to provide diversified investment...
