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Michael G. Dana

Michael G. Dana

Foley & Lardner LLP


Latest Posts › Compliance

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A Compilation of Enforcement and Non-Enforcement Actions - February 28, 2013

In This Issue: Non-Enforcement Matters - Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures - Mutual Fund Boards and Oversight of Fair Valuation - Mutual Funds and...more

2/28/2013 - CFTC Compliance Enforcement Actions ETFs Insider Trading Investment Adviser Mutual Funds SEC

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

1/31/2013 - Complex Financial Products Compliance Cybersecurity Data Protection Enforcement FINRA Hedge Funds Insider Trading Money Laundering Non-Enforcement Private Placements SEC

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

12/1/2012 - Compliance Dodd-Frank FINRA Hedge Funds Insider Trading Investment Adviser Private Investment Funds SEC

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