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SEC distributes $418 million to harmed investors in Invesco mutual funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC announced the Fair Fund distribution of approximately $418 million to more than one million investors who were affected by undisclosed market timing in certain Invesco mutual funds advised by Invesco Funds Group, Inc

SEC holds open meeting, approves change to Advisers Act custody rule and enhanced proxy disclosures

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC held an open meeting at which it approved a change to the Advisers Act custody rule and also a requirement for enhanced proxy disclosure on risk, compensation and corporate governance

Director of the Division of Investment Management speaks at the ICI 2009 Securities Law Developments Conference

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

Andrew J. Donohue, Director of the SEC’s Division of Investment Management, spoke at the Investment Company Institute (ICI) conference on risk management, the SEC’s accomplishments, and the Division’s “to do” list

SEI survey finds strong majority of brokers and advisors support and understand key elements of the fiduciary standard

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

According to a survey recently conducted by the SEI Advisor Network and the Committee for the Fiduciary Standard, a strong majority of brokers and advisors support and understand key elements of the fiduciary standard

FINRA issues investor alert warning investors of green energy investments that promise large gains

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors to be wary of green energy investments that promise large gains from investing in companies purportedly involved in developing or producing alternative, renewable, or waste energy products

Massachusetts-based IA criminally charged for defrauding investors

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The U.S. Attorney’s Office for the District of Massachusetts filed an Information against Stephen F. Clifford, a former investment adviser based in Plymouth, Massachusetts

SEC adopts, as final, Rule 206(3)-3T

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Securities and Exchange Commission (SEC) adopted, as final, Rule 206(3)-3T under the Investment Advisers Act of 1940 (Advisers Act), the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the SEC as broker-dealers to meet the requirements of 206(3) of the Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients

Director of SEC Division of Enforcement speaks before the U.S. Senate Committee on the Judiciary concerning mortgage fraud, securities fraud, and the financial meltdown: prosecuting those responsible

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

Robert Khuzami, Director of the Division of Enforcement, spoke before the U.S. Committee on the Judiciary, along with colleagues from the U.S. Department of Justice (DOJ) and the Federal Bureau of Investigation

SEC issues order against Moises Pacheco

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC issued an order against Moises Pacheco based on the entry of a permanent injunction against Pacheco in the civil action entitled SEC v. Pacheco

SEC issues order against Mermelstein for failure to supervise portfolio manager

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC issued an order against Stephen Jay Mermelstein, finding that Mermelstein, the former Chief Operating Officer of a formerly registered investment adviser, Ark Asset Management, Co., Inc., failed reasonably to supervise a portfolio manager who engaged in fraudulent trade allocation practices during the years 2000 through 2003