Best of the Web – July 2012
During our daily review of all matters regulatory, we
sometimes come across publicly-available pieces from our clients, partners,
competitors, and friends that we think are extremely helpful and well
done. Usually, these articles provide
in-depth analysis far greater than we can offer in the short-form format that
you receive from us every morning.
Sometimes, these industry players address issues well outside our
expertise and experience. We offer
these articles and links in no particular order. We hope you find these gems as valuable as we
did.
Guide To SEC
Investment Adviser Registration For Hedge Fund And Private Equity Fund Managers
(Bingham)
http://www.bingham.com/~/media/E87B98C6BC794D3FB2E1DD629DC5DE11.ashx
ERISA
Service Provider Disclosures: What Plan Sponsors Need to Do Now (Drinker
Biddle)
Enhancing
the Investment Advisory Contract Review Process Can Mitigate Recent Increased
Litigation and Enforcement Risk of Sub-Advised Funds (Dechert)
Venture
Capital & Private Equity Funds Deskbook (Morgan Lewis)
New
Regulatory Filing Requirements For Advisers To Private Investment Funds (Stradley
Ronon)
http://www.stradley.com/library/files/20-06-33a_stradley_brody.pdf
Who’s In and
Who’s Out? CFTC and SEC Finalize the Swap Entity Definitions (K&L Gates)
‘Like’ It Or
Not: Broker-Dealers And Social Media Access (Sutherland)
DOL Rules
Implement PPA Investment Advice Exemption (Groom Law Group)
Preparing
for an SEC Exam:Questions to Ask Yourself (ACA)
http://www.acacompliancegroup.com/documents/Preparing-for-an-Exam–Checklist.pdf
Manage your
risks: How to differentiate between investment risk and operational risk
(Kreischer Miller)
http://www.kmco.com/wp/wp-content/uploads/2012/06/07_2012_Risk-Management_TEC.pdf
Form PF
Readiness Assessment for Hedge Funds and Private Equity Funds: Are you ready?
(Deloitte)
UBTI Issues
For RICs and RIC Shareholders (BBD)
http://www.bbdcpa.com/blog/ubti-issues-for-rics-and-ric-shareholders-part-i/
http://www.bbdcpa.com/blog/ubti-issues-for-rics-and-ric-shareholders-part-ii/
http://www.bbdcpa.com/blog/ubti-issues-for-rics-and-ric-shareholders-part-iii/