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Best of the Web – December 2014

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)

http://www.sglawyers.com/admin/PDFs/346.PDF

 

Private Equity Alert: Year-End Reminder (Willkie Farr & Gallagher)

http://www.willkie.com/~/media/Files/Publications/2014/12/Private_Equity_Alert.pdf

 

SEC and NFA Examinations: New Registrants, Areas of Regulatory Focus and Compliance Issues (Dechert)

http://www.dechert.com/files/Uploads/Documents/FSG/SEC%20and%20NFA%20Examinations_New%20Registrants,%20Areas%20of%20Regulatory%20Focus%20and%20Compliance%20Issues.pdf

 

New York Department of Financial Services Unveils “New Cyber Security Examination Process”: Five Key Takeaways (K&L Gates)

http://www.klgates.com/new-york-department-of-financial-services-unveils-new-cyber-security-examination-process–five-key-takeaways/

 

Addressing financial fraud in the private equity industry (McGladrey)

http://mcgladrey.com/content/dam/mcgladrey/pdf_download/wp_fas_addressing_financial_fraud.pdf

 

SEC issues guidelines on investment company consolidation (Grant Thornton)

http://www.grantthornton.com/issues/library/articles/financial-services/2014/AM/12-SEC-RICs-BDCs-guidance-consolidation.aspx

 

Reminder of 12/1/14 Effective Date for New Supervision Rules (ACA)

http://www.acacompliancegroup.com/news/compliance-alert/reminder-12114-effective-date-new-supervision-rules

 

Are Non-Transparent ETFs and ETMFs the “Next Big Things”?

(Morgan Lewis)

http://www.morganlewis.com/pubs/IM_AreNonTransparentFundsNextBigThing_04dec14.pdf

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