Best of the Web – December 2014
CCS presents its “Best of the Web,” December 2014 edition. SadisGoldberg addresses the evolving insider trading doctrine after the Newman decision; Willkie Farr reminds private equity firms of their compliance obligations; and Dechert outlines NFA regulation. Also worth noting is the discussion of New York State’s cybersecurity exams by K&L Gates and McGladrey’s take on private equity fraud.
Insider Trading After the Newman Decision (SadisGoldberg)
Private Equity Alert: Year-End Reminder (Willkie Farr & Gallagher)
SEC and NFA Examinations: New Registrants, Areas of Regulatory Focus and Compliance Issues (Dechert)
New York Department of Financial Services Unveils “New Cyber Security Examination Process”: Five Key Takeaways (K&L Gates)
Addressing financial fraud in the private equity industry (McGladrey)
SEC issues guidelines on investment company consolidation (Grant Thornton)
Reminder of 12/1/14 Effective Date for New Supervision Rules (ACA)
Are Non-Transparent ETFs and ETMFs the “Next Big Things”?