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Hedge and Private Fund Enforcement & Regulatory Developments 2014
Barry R. Goldsmith
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. 2014 SEC Actions Brought Against Hedge Funds, Private Funds, and Fund Investment Advisers
Chapter 2. SEC Inspections and Examinations of Hedge Funds and Private Equity Firms (August 27, 2014)
Chapter 3. Allocation of Expenses, How to Prepare for and Manage an Exam, the Impact of New Technology
Chapter 4. Sidley Austin LLP, SEC Staff Guidance May Lessen Investment Adviser Demand for—While Also Raising the Costs of Providing—Proxy Advisory Services (July 10, 2014)
Chapter 5. John Sakhleh, David S. Petron and Kevin Garvey, As Chief Compliance Officer, Could You Be the Target of an Enforcement Action?, 46 Securities Regulation & Law Report 977 (May 19, 2014)
Chapter 6. Sidley Austin LLP, SEC Adopts Key Cross-Border Security-Based Swap Rules, Anticipates Further Rulemaking (July 21, 2014)
Chapter 7. Rule 105 of Regulation M (August 14, 2014)
Chapter 8. U.S. Securities and Exchange Commission, Press Release, SEC Charges 23 Firms With Short Selling Violations in Crackdown on Potential Manipulation in Advance of Stock Offerings (September 17, 2013)
Chapter 9. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Rule 105 Regulation M: Short Selling in Connection with a Public Offering, Vol. III, Issue 4 (September 17, 2013)
Chapter 10. Letter from Managed Funds Association to European Securities and Markets Authority Re: Consultation Paper and Discussion Paper on MiFID II/MiFIR (August 1, 2014)
Chapter 11. CFTC/NFA Issues Facing Private Fund Managers (August 26, 2014)
Chapter 12. Insider Trading and Activist Investing
Chapter 13. Gibson Dunn, Publications, 2014 Mid-Year Securities Enforcement Update (July 14, 2014)
Chapter 14. Caveat Emptor: Anti-Corruption Challenges and Compliance Strategies for Private Equity (August 2014)
Chapter 15. Recent Case Developments
Chapter 16. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Examination Priorities for 2014 (January 9, 2014)
Chapter 17. Trends in Hedge Fund Insider Trading Enforcement 2014
All Contents Copyright © 1996-2020 Practising Law Institute.
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