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Home 2011 July

Post Archive by Month

Below you'll find a list of all posts from July, 2011

SEC Increases Client Thresholds for Performance Fees

Simon Riveles July 14, 2011 Uncategorized

On July 12, 2011 the SEC raised the thresholds governing whether an investment adviser can charge clients performance fees. Under the order, implementing Dodd-Frank rules, an investment adviser will be

SEC Readopts Rule on Beneficial Ownership Reporting Requirements & Security Based Swaps

Simon Riveles July 2, 2011 Uncategorized

The SEC readopted, without change, the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. The SEC acted

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