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)
Annual Requirements for Registered CPO’s and CTA’s
(Kinetic)
Case Study of a CFPB Enforcement Action: In re
JPMorgan Chase Bank, N.A.; and Chase Bank USA, N.A. (Baker Donelson)
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)
Private Equity Fund Pro Forma Financial Statements
Reference Manual (Rothstein Kass)
Alternative Investment Fund Pro Forma Financial
Statements Reference Manual (Rothstein Kass)
Trading and Compliance Issues Under Rule 105
(Schulte Roth & Zabel)