On April 13, Jeffrey Wittenberg, Esq., gave a presentation to the Financial Institutions Committee of the State Bar of California in which he covered certain new rules, regulations and proposed reforms that impact investment advisers. The topics included:
(1) The new custody and recordkeeping rules that went into effect on March 12, 2010,
(2) Select Titles from Senator Dodd’s Bill, “Restoring American Financial Stability Act of 2010”,
(3) The assessment and recommendations by Office of Inspector General of the Securities and Exchange Commission concerning the SEC’s Bounty Program (i.e., whistleblower program), and
(4) The recent decision by the U.S. Supreme Court concerning mutual fund fees in Jones vs. Harris Associates L.P., and its aftermath.
If you have questions or would like to discuss any of these topics, contact Jeffrey Wittenberg at (877) 352-2010.