PLI PLUS 2.0 is now available – click
here
to test drive the new platform.
Skip to main content
Create Account
Training Center
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- Insights
- Treatises
Forms & Checklists
Transcripts
My Bookshelf
My History
< Back To Results
1 in 1 results
Previous Result
Next Result
Hedge Fund Registration and Compliance 2012
Chair(s):
K. Susan Grafton
Practice Area:
Hedge funds,
Investment fund management,
Securities and other financial products
Published:
Jan 2012
i
Other versions can be found in the
Related Items
tab.
ISBN:
9781402417184
PLI Item #:
35088
CHB Spine #:
B1927
This version is not current.
Click here for the most recent version.
Search
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents
Chapter 1. Is This an Inspection or an Investigation? The Blurring Line Between OCIE and Enforcement
Chapter 2. PwC, FS Regulatory Brief, The SEC's New Large Trader Reporting Requirements Place New Regulatory Obligations on Both Asset Managers and Broker-Dealers (2011)
Chapter 3. PwC, FS Regulatory Brief, New SEC Rule 15c3-5 Bans Unfiltered Market Access, Creates New CEO Certification, Risk Management, Supervisory and Compliance, and Operational Obligations for Broker-Dealers (2011)
Chapter 4. PricewaterhouseCoopers LLP, Financial Services Institute, Navigating Risk in the High-Frequency Trading Environment (August 2010)
Chapter 5. New Rule 13h-1: The SEC Adopts a Large Trader Reporting System
Chapter 6. Certain Investor-Related Legal and Compliance Issues for Hedge Funds
Chapter 7. Hedge Fund Investor Relations: Challenges and Opportunities
Index
About Us