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Hedge Fund Compliance & Regulatory Challenges 2015
K. Susan Grafton
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Letter Introducing the National Exam Program (October 9, 2012)
Chapter 2. Andrew J. Bowden, Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, People Handling Other Peoples’ Money, Speech at Investment Adviser Association Compliance Conference (Arlington, VA) (March 6, 2014)
Chapter 3. Assessing Your Risk: Is Your Compliance Program Current? (October 25, 2014)
Chapter 4. U.S. Securities and Exchange Commission, Final Rule: Compliance Programs of Investment Companies and Investment Advisers, 17 CFR Parts 270 and 275 [Release Nos. IA-2204; IC-26299; File No. S7-03-03] (Effective Date, February 5, 2004)
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. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Risk Inventory Guide (2007)
Chapter 7. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2014 (January 9, 2014)
Chapter 8. Letter from Managed Funds Association to The Hon. Timothy G. Massad, Chairman, Commodity Futures Trading Commission, Re: Managed Funds Association Regulatory Priorities (July 30, 2014)
Chapter 9. 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 10. Current Issues in Commodity Futures: Positon Limits and Aggregation
Chapter 11. Stephanie R. Breslow et al., Hedge Funds—Formation, Operation and Regulation, Regulatory Considerations, §§ 5.04–5.06 (Law Journal Press 2014, Originally published: 2013)
Chapter 12. Hot Topics in CPO/CTA and Derivatives Regulation (October 16, 2014)
Chapter 13. CFTC Letter No. 14-126 From Gary Barnett, Director, U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, Re: CEA Section 4m(1)—Self-Executing Registration No-Action Relief for Delegating CPOs When Certain Requirements are Satisfied (October 15, 2014)
Chapter 14. Certain Investor-Related Legal and Compliance Issues for Hedge Funds (October 24, 2014)
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