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K&L Gates' Quarterly Investment Management Update


K&L Gates has published the Spring 2011 edition of its quarterly "Investment Management Update."  This issue features articles on a wide range of topics from SEC enforcement trends, interactive data, developments for closed-end funds, SEC whistleblower rules, and more.  

  • SEC Enforcement Ramping Up Cases Against Advisers 
  • Compliance Corner: XBRL Update 
  • Financial Services Reform 
  • Standard & Poor's Market Value Securities Proposal and the Ripple Effects on Closed-End Funds 
  • English Lessons for Dealings with the Islamic World 
  • Whistleblower Procedures: An Incentive for Internal Reporting 
  • The SEC's New Pay-to-Play Rule: Practical Guidance for Investment Advisers
  • New Regulation of Municipal Advisors: Solicitors of Municipal Entities Beware

The full text of K&L Gates' Spring 2011 "Investment Management Update" may be read at: