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Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

Chair(s): Barry R. Goldsmith

Practice Area: Banking and finance, Enforcement (Securities and other financial products), Financial products, Hedge funds, Investment fund management, Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Dec 2017 i Other versions can be found in the Related Items tab.
ISBN: 9781402430268
PLI Item #: 182499
CHB Spine #: B2367

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. 2017 Mid-Year Securities Enforcement Update (July 18, 2017)
Chapter 2. K. Susan Grafton and Linda J. Muzere, Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program (September 29, 2017)
Chapter 3. Insider Trading: Where Is the Line?
Chapter 4. The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers, the Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Volume VI, Issue 3 (February 7, 2017)
Index