Best of the Web – February 2014
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. Firms
were very active in February with some end-of-year summaries, data
presentations, and advice for 2014. Some
of the standouts from February include Morgan Lewis’s comprehensive summary of
last year’s enforcement cases, a Ropes & Gray report on the SEC Compliance
Outreach program, a Deloitte piece about how firms conduct compliance
monitoring, a Groom article on investment fiduciary outsourcing, and a
provocative article from Kreisher Miller about investment fees. We hope you find these gems as valuable as we
did.
Select Broker-Dealer, Investment Adviser, and
Investment Company Enforcement Cases and Developments: 2013 Year in Review
(Morgan Lewis)
https://www.morganlewis.com/pubs/LIT_2013YearInReview.pdf
SEC Compliance Outreach Program National Seminar –
Summary of Panel Discussions (Ropes & Gray)
Investment Compliance Monitoring Survey (Deloitte)
2014 Asset Management Update (Grant Thornton)
Expert Q&A on Outsourcing Fiduciary Investment
Responsibilities (Groom)
http://www.groom.com/media/publication/1368_Outsourcing_Fiduciary_Investment_Responsibilities.pdf
Investment Fees: Are You Charging the Right Amount?
(Kreischer Miller)
http://www.kmco.com/articles/looking-forward/investment-fees-are-you-charging-the-right-amount/
In the spotlight: BDCs and investment valuation
(E&Y)
Time management challenges for private equity
controllers (McGladrey)
http://mcgladrey.com/content/dam/mcgladrey/pdf_download/wp_time_management_for_pe_controllers.pdf
The New Regulatory Landscape and What Investment
Advisers Need to Know (Rothstein Kass)
Final Volcker Rule Regulations: Effects on Non-U.S.
Entities (Bingham)
http://www.bingham.com/Services/~/media/Files/Docs/2014/Effects-on-Non-US-Entities.ashx
FATCA Online Registration is Up and Running. Key
Deadline Approaches for Foreign Funds (Drinker)
Investment Advisers and Funds – New Treasury Report
Form for Foreign Claims and Liabilities (K&L Gates)
FATCA: The global trend towards tax transparency
(Kinetic)
http://www.kinetic-partners.com/wp-content/uploads/Kinetic-Partners-FATCA-and-Tax-press-briefing.pdf
Deutsche Bank Survey Says Hedge Fund Industry
Inflows May Nearly Triple (MFA)
SEC Loses Four More High-Profile Trials Where it
Relied on Circumstantial Evidence and Questionable Materiality Arguments to
Prove Insider Trading and Fraud (Sadis Goldberg)
http://www.sglawyers.com/admin/PDFs/295.PDF
Key industry findings from the 17th Annual Global
CEO Survey (PWC)
Client Service: What It Takes to Walk the Talk (SEI)
https://www.seic.com/docs/IMS/SEI-2014ClientService-Paper-US.pdf
The Seward & Kissel New Hedge Fund Study (Seward
& Kissel)
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