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Hedge Fund Compliance & Regulatory Challenges 2014
K. Susan Grafton
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. CFTC/NFA Issues for Private Fund Advisers (October 22, 2013)
Chapter 2. Examinations by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (February 2012)
Chapter 3. Examination Information for Broker-Dealers, Transfer Agents, Clearing Agencies, Investment Advisers, and Investment Companies
Chapter 4. U.S. Securities and Exchange Commission, Information for Newly-Registered Investment Advisers
Chapter 5. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008)
Chapter 6. Letter from U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations to Senior Executive or Principal of a Newly Registered Investment Adviser, Re: Presence Exams (October 9, 2012)
Chapter 7. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 1, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets (March 4, 2013)
Chapter 8. Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Speech at PLI’s Hedge Fund Management 2013, Current SEC Priorities Regarding Hedge Fund Managers (September 12, 2013)
Chapter 9. National Futures Association, Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs (May 2013)
Chapter 10. Rule 105 of Regulation M (October 30, 2013)
Chapter 11. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 4, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering (September 17, 2013)
Chapter 12. SEC Confirmation that Fixed-Income Commissions Can Satisfy the Section 28(e) “Soft Dollars” Safe Harbor (October 29, 2013)
Chapter 13. Questions & Answers on State and Local Variations of the SEC’s Pay-to-Play Rule as of November 4, 2013
Chapter 14. Certain Investor-Related Legal and Compliance Issues for Hedge Funds (November 11, 2013)
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