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