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Hedge Fund Management 2015
Chair(s):
Nora Jordan
Practice Area:
Corporate & Securities
Published:
Sep 2015
ISBN:
9781402425233
PLI Item #:
58960
CHB Spine #:
B2194
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2015
Chapter 2. Letter from Mary Jo White, Chair, U.S. Securities and Exchange Commission, to the Honorable Jeb Hensarling, Chairman, U.S. House of Representatives Committee on Financial Services Regarding SEC’s Examination Coverage of Investment Advisers (December 16, 2014)
Chapter 3. U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2014-07, Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows (June 2014)
Chapter 4. Norm Champ, Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014 (September 11, 2014)
Chapter 5. U.S. Securities and Exchange Commission, Agency Financial Report, Fiscal Year 2014 (November 2014)
Chapter 6. Press Release No. 2015-95, U.S. Securities and Exchange Commission, SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers (May 20, 2015)
Chapter 7. U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2014-4, Guidance on the Testimonial Rule and Social Media (March 2014)
Chapter 8. U.S. Securities and Exchange Commission, Temporary Rule Regarding Principal Trades With Certain Advisory Clients, 17 CFR Part 275 [Release No. IA-3893; File No. S7-23-07] (December 17, 2014)
Chapter 9. U.S. Securities and Exchange Commission, Division of Investment Management, Staff of the Investment Adviser Regulation Office, Regulation of Investment Advisers by the U.S. Securities and Exchange Commission (March 2013)
Chapter 10. David Grim, Acting Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to PLI Investment Management Institute 2015 (March 5, 2015)
Chapter 11. Press Release No. 2014-193, U.S. Securities and Exchange Commission, SEC Announces Creation of New Office Within its Division of Economic and Risk Analysis (September 11, 2014)
Chapter 12. The European Union’s Alternative Investment Fund Managers Directive (AIFMD): A Practitioner’s View (June 12, 2015)
Chapter 13. Davis Polk, Client Memorandum, Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines (June 18, 2014)
Chapter 14. Davis Polk, Client Newsletter, Investment Management Regulatory Update, Interagency Volcker Rule FAQ Addresses Scope of U.S. Marketing Restrictions under SOTUS Covered Funds Exemption (March 26, 2015)
Chapter 15. Davis Polk, Client Newsletter, Investment Management Regulatory Update, Reminder: End of Alternative Investment Fund Managers Directive Transition Period (July 24, 2014)
Chapter 16. Davis Polk, Client Newsletter, Investment Management Regulatory Update, European Regulatory Developments Regarding Remuneration in the Financial Services Industry (October 20, 2014)
Chapter 17. Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers (May 20, 2015)
Chapter 18. Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Summarizes Use of Form PF Data in Annual Staff Report (September 30, 2014)
Chapter 19. Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Staff Responds to Questions About Form PF (December 16, 2014)
Chapter 20. Prime Brokerage (PowerPoint slides)
Chapter 21. The SEC’s Renewed Focus on Conflicts of Interest (PowerPoint slides)
Chapter 22. Regulation of Funds in the Cayman Islands
Chapter 23. Investment Funds
Chapter 24. Dodd-Frank Regulations Affecting Swaps (March 2015)
Chapter 25. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Investment Adviser Due Diligence Processes for Selecting Alternative Investments and Their Respective Managers, Volume IV, Issue 1 (January 28, 2014)
Chapter 26. Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Announces Streamlined Process to Grant No-Action Relief from Registration for Delegating CPOs Registration (June 23, 2014)
Chapter 27. U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No 14-69, Requesting Registration No-Action Relief on an Expedited Basis for Commodity Pool Operators who Delegate Certain Activities to a Registered Commodity Pool Operator under Certain Circumstances (May 12, 2014)
Chapter 28. Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Adopts Security-Based Swap Cross-Border Definitional Rule (July 24, 2014)
Chapter 29. U.S. Securities and Exchange Commission, 17 CFR Parts 240, 241, and 250 [Release No. 34-72472; File No. S7-02-13] RIN 3235-AL25, Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities
Chapter 30. Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Grants No-Action Relief for Certain CPOs of Pools with Wholly-Owned Trading Subsidiaries; CFTC Grants No-Action Relief to Permit Additional Third-Party Recordkeepers in Commission Regulations 4.7(b)(4) and 4.23(c); Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities (October 20, 2014)
Chapter 31. U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, CFTC Letter No 14-114, Exemptive Relief to Use Additional Third-Party Recordkeepers in Commission Regulations 4.7(b)(4) and 4.23(c) (September 8, 2014)
Chapter 32. Department of Treasury, Office of the Comptroller of the Currency, Notice of Proposed Rulemaking and Request for Comment, Margin and Capital Requirements for Covered Swap Entities, 12 CFR Parts 45, 237, 349 (September 24, 2014)
Chapter 33. Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Announces Self-Executing Registration No-Action Relief for Certain Delegating CPOs (November 19, 2014)
Chapter 34. U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, CFTC Letter No. 14-126, CEA Section 4m(1)—Self-Executing Registration No-Action Relief for Delegating CPOs When Certain Requirements are Satisfied (October 15, 2014)
Chapter 35. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Volume IV, Issue 4, Cybersecurity Examination Sweep Summary (February 3, 2015)
Chapter 36. U.S. Securities and Exchange Commission, Release No. 2015-20, SEC Alerts Investors, Industry on Cybersecurity (February 3, 2015)
Chapter 37. U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2015-02, Cybersecurity Guidance (April 2015)
Chapter 38. Private Fund Managers Expanding into Registered Funds: Business and Legal Issues (PowerPoint slides)
Chapter 39. Regulatory Outlook: Exams, Enforcement and AIFMD (Outline)
Chapter 40. Managing Fund Liquidity (Outline)
Chapter 41. Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Conflicts, Conflicts Everywhere—Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View
Chapter 42. Whistleblowers & Internal Investigations: The New Privilege and Confidentiality Challenges Facing Companies
Index
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