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Best of the Web – August 2014

Best of the Web – August 2014

We present August’s “Best of the Web.”  Seward & Kissel provides a comprehensive overview of the regulatory requirements for private funds, Stradley surveys registered alts, and Drinker explains the shift in the SEC’s approach to enforcement actions.  You should also check out Deloitte’s treatment of fair value pricing and PwC’s position on hedge fund administration.  Happy reading!

 

Basic U.S. Regulatory Requirements Applicable to Private Investment Funds and Private Investment Fund Managers (Seward & Kissel)

http://origin.library.constantcontact.com/download/get/file/1102247846536-170/Basic+U.S.+Regulatory+Requirements.pdf

Alternative Funds in the Registered Fund Marketplace (Stradley)

http://www.stradley.com/library/files/the_review_of_securities_&_commodities_regulation_-_gedrich,_zimmerman_-_8.20.14.pdf

The Future of SEC Enforcement Actions: Negligence-Based Charges Brought in Administrative Proceedings? (Drinker)

http://www.drinkerbiddle.com/Templates/media/files/Outside%20Publications/2014/InvestmentLawyer-2014-09(1).pdf

Anti-Money Laundering Customer Due Diligence (Bingham)

http://www.bingham.com/Alerts/2014/08/Anti-Money-Laundering-Customer-Due-Diligence

Fair Value Pricing Survey, Twelfth Edition (Deloitte)

http://www.deloitte.com/assets/Dcom-UnitedStates/Local%20Assets/Documents/FSI/us_fsi_DeloitteFairValueSurvey2014_092614.pdf

Can Funds Use Equalization Debits and In-Kind Redemptions Together For Tax Efficiency? (BBD)

http://www.bbdcpa.com/blog/can-funds-use-equalization-debits-and-in-kind-redemptions-together-for-tax-efficiency/

SEC Adopts Certain Final Rules Relating to Cross-Border Security-Based Swap Activities (Dechert)

http://sites.edechert.com/10/3591/august-2014/sec-adopts-certain-final-rules-relating-to-cross-border-security-based-swap-activities.asp?forward=6f9e3bc6-43c3-4d10-9dcd-5f18b218ce3c

10 security considerations for asset management (E&Y)

http://www.ey.com/Publication/vwLUAssets/EY-10_security_considerations_for_asset_management/$FILE/EY_Cyberrisk.pdf

Board Responsibilities Under SEC’s Money Market Fund Reform (K&L Gates)

http://www.klgates.com/board-responsibilities-under-secs-money-market-fund-reform-08-15-2014/

The Road to Sustainable Growth in Wealth Management (KPMG)

http://www.kpmg.com/US/en/industry/Investment-Management/Documents/the-road-to-sustainable-growth-in-wealth-management.pdf

The Keys to Effective Operational Due Diligence (Kreischer Miller)

http://www.kmiig.com/wp/wp-content/uploads/2014/08/TAP-SACRS-Presentation_No-Date.pdf

Hedge fund administration: 4 trends that may drive new growth (PwC)

http://www.pwc.com/en_US/us/asset-management/investment-management/publications/assets/pwc-hedge-fund-administration-4-trends-for-profitable-growth-pwc.pdf

Insider Trading Developments: The Implications of Recent SEC Actions Affect Fund Managers (Schulte Roth & Zabel)

http://www.srz.com/files/News/2c5a6d4a-9a7a-46dc-a6b0-0e261097a677/Presentation/NewsAttachment/94535697-cdf6-4c03-86ae-0e45c68ee075/The_Hedge_Fund_Journal_Insider_Trading_Developments_July_August_2014.pdf

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