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Our Take Blog

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Our Take Blog
Best of the Web – December 2013

Best of the Web – December 2013

Best of the Web – December 2013

Once again, we offer the “Best of the Web,” our monthly
compendium of well-done, publicly-available insights from our clients,
partners, competitors, and friends.  Some
of the standouts from December include a social media training piece that
Morgan Lewis prepared for the SEC exam staff, some good tips from Groom about
how to select fiduciary insurance, Volcker Rule guidance from both Ropes &
Gray and Bingham, and a nice summary of CPO and CTA requirements from
Kinetic.  We hope you find these gems as
valuable as we did. 

Social Media for Investment Advisers (Morgan Lewis)

https://www.morganlewis.com/pubs/OCIETraining_SocialMediaforInvestmentAdvisers_18dec13.pdf

Fiduciary Insurance for Advisors (Groom)

http://www.groom.com/media/publication/1322_Fiduciary_Insurance_NAPA.pdf

Volcker Rule Final Regulations: The Effect on
Private Fund Sponsors and Investors (Ropes & Gray)

http://www.ropesgray.com/news-and-insights/Insights/2013/12/Volcker-Rule-Final-Regulations-The-Effect-on-Private-Fund-Sponsors-and-Investors.aspx

Annual Requirements for Registered CPO’s and CTA’s
(Kinetic)

http://www.kinetic-partners.com/news/annual-requirements-for-registered-commodity-pool-operators-and-commodity-trading-advisers/

Case Study of a CFPB Enforcement Action: In re
JPMorgan Chase Bank, N.A.; and Chase Bank USA, N.A. (Baker Donelson)

http://www.bakerdonelson.com/case-study-of-a-cfpb-enforcement-action-in-re-jpmorgan-chase-bank-na-and-chase-bank-usa-na-12-19-2013/

Regulators Adopt Final Volcker Rule Regulations
(Bingham)

http://www.bingham.com/Services/~/media/Files/Docs/2013/Volcker-Rule-Alert-2.ashx

FINRA Anti-Spinning Rule Amendment Will Allow More
Funds-of-Funds To Participate in New Issues (Cordium)

http://www.cordium.com/briefing/finra-anti-spinning-rule-amendment-will-allow-more-funds-of-funds-to-participate-in-new-issues/

 

 

Private Equity Fund Pro Forma Financial Statements
Reference Manual (Rothstein Kass)

Alternative Investment Fund Pro Forma Financial
Statements Reference Manual (Rothstein Kass)

http://www.rkco.com/getattachment/909e8882-85e8-4461-954a-84caf1a3f80b/Private-Equity-Fund-Pro-Forma-Financial-Statements

http://www.rkco.com/getattachment/8be7dab4-c3d7-4084-a440-f2af0205a486/Alternative-Investment-Fund-Pro-Forma-Financial-St

 

Trading and Compliance Issues Under Rule 105
(Schulte Roth & Zabel)

http://www.srz.com/files/News/04b1c35f-3eb5-4def-b364-87bbcd7d12e3/Presentation/NewsAttachment/499dc36a-ccf7-4734-9879-898cc2c6774b/SRZ_Trading_and_Compliance_Issues_Under_Rule_105_White_Paper.pdf

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