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237 results found

Article

Winston & Strawn LLP | USA | 20 Sep 2011

Dismissal of suit against commission merchants for aiding and abetting Ponzi scheme affirmed

Commodity pool investors were defrauded by their pool operator, who traded the pooled funds for his own account through futures commission merchants.

Article

Paul Weiss | USA | 21 Apr 2010

Newly enacted laws affecting private funds

On December 30, 2009, the SEC published a release adopting certain amendments to the custody and recordkeeping rules applicable to registered investment advisers under the Advisers Act and related forms (the "Release").

Article

Hodgson Russ LLP | USA | 16 Apr 2010

The SEC’s custody rule for registered investment advisers

Effective March 12, 2010, the SEC amended Rule 206(4)-2 (the Custody Rule), which governs the custody of client securities and funds by federally registered investment advisers (RIAs).

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