Best of the Web – October 2013
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 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.
2013: the year of compliance: Rethink and rebuild to
adapt and win (E&Y)
Update on GIPS Guidance Statement on Pooled Funds
and Potential Impacts – Remarks from the GIPS Standards 2013 Annual Conference
(K&L Gates)
Social Media: The Ongoing Evolution of Internal
Controls (Morgan Lewis)
http://www.morganlewis.com/pubs/InvestmentLawyer_SocialMedia-InternalControls_Oct2013.pdf
Views on Operational Due Diligence (Kinetic
Partners)
http://www.thehedgefundjournal.com/node/8893
ETFs: How innovators and regulators are shaping
growth in the Asset Management industry (PWC)
Key Regulatory and Accounting Issues for
Broker-Dealers (Rothstein Kass)
Sound Advice For Emerging Hedge Fund Managers – Part
2 (SadisGoldberg)
http://www.sglawyers.com/admin/PDFs/270.PDF
In Re Trados Incorporated Shareholder Litigation:
Confronting the Conflicts Facing Investment Fund Board Designees When a
Portfolio Company is Sold (Bingham)
How liquidation basis accounting affects private
equity funds (Grant Thornton)
Is Your ADR Clause Enforceable? (Baker Donelson)
http://www.bakerdonelson.com/is-your-adr-clause-enforceable-10-10-2013/
Recordings Available For BBD’s Webinars for Mutual
Fund & ETF Directors and Trustees (BBD)
http://www.bbdcpa.com/blog/webinarrecordings/
CFTC Adopts New CPO Rules for Registered Investment
Companies and Others (Dechert)
http://sites.edechert.com/10/1824/uploads/10-13-cftc-harmonization-onpoint.pdf
View From Groom: Tax Compliance Challenges for IRA
Owners and Providers—Does the IRS/Treasury Priority Guidance Plan Offer Some
Hope? (Groom)
http://www.groom.com/media/publication/1305_Tax_Compliance_Challenges_IRA_Owners_Providers_BNA.pdf
Caught in the Wash (Schulte Roth & Zabel)
When Diversification “Fails,” and Why We Still
Believe (SEI)
http://www.seic.com/docs/IMU/SEI_Diversification_Devin_Cassels_2013_US.pdf
CFTC Publishes Sweeping Concept Release Asking
Questions About Additional Regulation of Automated Trading Strategies and
High-Frequency Trading (Skadden)
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