• Skip to primary navigation
  • Skip to main content
Logo
Open search bar
  • About
    • Todd Cipperman
    • Why Choose Us
  • Services
    • Money Managers
    • Registered Funds
    • Private Equity
    • Broker-Dealers
    • CyberSecure - Funds
  • In The News
  • Outsourced CCO
  • Client Engagement
  • Resources
    • Helpful Information
    • Regulatory Exams
    • Executive Interviews
    • Blog
    • Podcasts & Videos
    • Best Practices
  • Contact Us

Our Take Blog

Home
Our Take Blog
Best of the Web – April 2016

Best of the Web – April 2016

Best of Web

Welcome to the April 2016 “Best of the Web.” The school year is coming to an end, and it looks like our friends are preparing some excellent final papers.  ACA asks firms to re-think the compliance spending paradigm and recognize the growing trend toward compliance outsourcing.  Meanwhile, Grant Thornton tells you how to succeed in hedge funds without really trying.  And, Groom explains the fiduciary rule in 20,000 words or less.

 

Doing More with Less: The New Compliance Paradigm (ACA)

http://www.acacompliancegroup.com/sites/default/files/2016-Doing-More-With-Less-The-New-Compliance-Paradigm-Halfenger.pdf

 

Starting a hedge fund: How to establish a foundation for success in a challenging marketplace (Grant Thornton)

http://www.grantthornton.com/issues/library/whitepapers/financial-services/2016/AM/starting-a-hedge-fund.aspx

 

Fiduciary Rule (Groom)

http://www.groom.com/resources-1040.html

 

The Changing Role of Independent Directors of Mutual Funds (Kramer Levin)

http://www.kramerlevin.com/files/Publication/8af22b1a-b4db-440e-81f9-0183e0a8f650/Presentation/PublicationAttachment/243ae716-9350-428d-b3e8-04ecb22bda7c/IL_0416_Fink.pdf

 

The new FINRA registration requirement for algorithmic traders: implications for broker-dealers and investment advisers (Schulte Roth & Zabel)

http://www.srz.com/The_New_FINRA_Registration_Requirement_for_Algorithmic_Traders/

 

Regulatory Focus on Waterfall Calculations for Private Equity Funds

(Willkie Farr & Gallagher)

http://www.willkie.com/~/media/Files/Publications/2016/04/Regulatory_Focus_on_Waterfall_Calculations_for_Private_Equity_Funds.pdf

 

BNA INSIGHTS: The Good, the Bad or the Ugly of the Dodd-Frank Act (Dechert)

https://www.dechert.com/files/Uploads/Documents/FSG/BloombergBNA-BNAInsights.pdf

https://www.dechert.com/files/Uploads/Documents/FSG/BloombergBNA-BNAInsights2.pdf

 

Margin Requirements for Swaps and Security-based Swaps

(Morgan Lewis)

https://www.morganlewis.com/~/media/files/publication/outside%20publication/article/iaa-margin-requirements-for-swaps-april2016.ashx?la=en

 

CFTC & NFA Developments for CPOs, CTAs and Other Asset Managers (Stradley Ronon)

http://www.stradley.com/insights/publications/2016/04/ctfc-alert-april-2016

Back to Top
logo
480 E. Swedesford Road, Suite 220, Wayne, PA 19087
610-687-5320
LinkedIn Twitter
© 2020 Marlivia Properties LLC