... services,” including the value of non‐securities assets held by the fund (although a sub‐adviser to a private fund will include in its RAUM only that portion of the fund's portfolio for which it provides sub‐advisory services); include the value of any uncalled capital commitments made to the fund...

... records, provide reports, and monitor large trader activity starting on April 30, 2012. © Authors 2011 Securities Exchange Act of 1934 Broker‐dealers Securities trading Securities regulation Investments Advisory services Regulation United States of America The SEC has adopted Rule...

.... Originality/value The paper provides practical guidance from experienced financial services lawyers. © Company 2011 Pay to play Securities regulation Investments Advisory services Regulation United States of America Edward L. Pittman can be contacted at: edward.pittman@dechert.com...

... content, who is? Investment advisers Hedge funds Mutual funds Securities Exchange Act of 1934 Securities regulation Investments Advisory services Hedging Regulation United States of America The US Supreme Court's recent decision in Janus Capital Group, Inc. v. First...

.... Jason Lane can be contacted at: jason.lane@bingham.com © Emerald Group Publishing Limited 2011 Securities regulation Broker‐dealers Investment advisers Investments Advisory services Information disclosure Regulation United States of America Enforcement alleged that these actions...

... of advisory fees. Originality/value This paper contributes to the ongoing debate on the evaluation of mutual funds advisory fees and highlights the usefulness of the NSAR filings. The debate is especially relevant given the additional SEC disclosure requirements. Unit trusts Advisory services...

.... By comparison, only 11.3 percent of newly registered advisers in 2005 reported any hedge fund clients. Investments Advisory services Financial institutions Hedging Globalization United States of America Paul D. Glenn can be contacted at: Paul.glenn@investmentadviser.org © Emerald Group...