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08495aam a2200529 i 4500 001 B11F3482E55411E7AFB0C42A97128E48 003 SILO 005 20171220010225 008 140924t20142014nyuacdk 111 0 eng 020 $a 1402422792 020 $a 9781402422799 035 $a (OCoLC)891210432 040 $a CGQ $b eng $e rda $c CGQ $d PQD $d OCLCO $d SLA $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 245 00 $a Hedge fund management, 2014 / $c chair, Nora Jordan. 264 1 $a New York, NY : $b Practising Law Institute, $c 2014. 300 $a 614 pages : $b illustrations, portraits, charts, forms ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2118 500 $a "#50993."--Spine 500 $a "Prepared for distribution at the Hedge Fund Management 2014 Program, New York City and live Webcast --www.pli.edu, September 11"--Page 5. 500 $a Index begins with letter C and is erratic. 504 $a Includes bibliographical references and index. 505 20 $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 4, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering (September 17, 2013) / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Letter to Never Before Examined Investment Advisers (February 20, 2014) / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 4, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering (September 17, 2013) / $r Norm Champ U.S. Securities and Exchange Commission -- 505 20 $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert , Vol. III, Issue 1, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets (March 4, 2013) / $r Norm Champ U.S. Securities and Exchange Commission -- $t Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations, Speech at the Investment Adviser Association Compliance Conference: People Handling Other Peoples Money (March 6, 2014) / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert , Vol. III, Issue 1, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets (March 4, 2013) / $r Norm Champ U.S. Securities and Exchange Commission -- 505 20 $t Dodd Frank Act Changes to Investment Adviser Registration Requirements / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. IV, Issue 2, OCIE Cybersecurity Initiative (April 15, 2014) / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Examination Risk Alert, Vol. II, Issue 2, Strengthening Practices for Preventing & Detecting Unauthorized Trading & Similar Activities (February 27, 2012) / $r Norm Champ U.S. Securities and Exchange Commission -- $t Dodd Frank Act Changes to Investment Adviser Registration Requirements / $r Norm Champ U.S. Securities and Exchange Commission -- 505 20 $t Investment Funds / $r Caroline Williams Walkers -- $t Norm Champ, Deputy Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Speech at the New York City Bar: What SEC Registration Means for Hedge Fund Advisers (May 11, 2012) / $r Norm Champ U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Division of Investment Management, Staff of the Investment Adviser Regulation Office, Regulation of Investment Advisers by the U.S. Securities and Exchange Commission (March 2013) / $r Norm Champ U.S. Securities and Exchange Commission -- $t SIFMA Guidance on Rule 506(c) Verification (June 23, 2014) / $r Thomas J. Kim Sidley Austin LLP -- $t Prime Brokerage (PowerPoint slides) / $r Harry Jho Harry Jho LLP -- $t Investment Funds / $r Caroline Williams Walkers -- 505 20 $t Davis Polk, Client Memorandum, CFTC Issues Cross Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements (January 7, 2014) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert , Vol. IV, Issue 1, Investment Adviser Due Diligence Processes for Selecting Alternative Investments and Their Respective Managers / $r Jessica A. Davis Lodge Hill Capital -- $t Dodd Frank Regulations Affecting Swaps (June 2014) -- $t Davis Polk, Flowcharts: Funds, Substantive Rules, Final Volcker Rule Regulations (January 6, 2014) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Newsletter, Investment Management Regulatory Update (December 20, 2013) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Memorandum, CFTC Issues Cross Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements (January 7, 2014) / $r Nora Jordan Davis Polk & Wardwell LLP -- 505 20 $t PwC, From Black Box to Open Book, US Hedge Fund Trust and Transparency / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Newsletter, Investment Management Regulatory Update (May 16, 2013) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Newsletter, Investment Management Regulatory Update (January 27, 2014) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Newsletter, Investment Management Regulatory Update (September 26, 2013) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Memorandum, The Impact of the Alternative Investment Fund Managers Directive on Non E.U. Managers of Non E.U. Funds (June 4, 2013) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t Davis Polk, Client Newsflash, SEC Adopts Private Offering Reforms Mandated by JOBS Act (July 10, 2013) / $r Nora Jordan Davis Polk & Wardwell LLP -- $t PwC, From Black Box to Open Book, US Hedge Fund Trust and Transparency / 505 20 $r Stephanie R. Breslow Schulte Roth & Zabel LLP. $t Outline, Managing Hedge Funds in Crisis / $r Scott Weisman PwC -- $t PwC, FS Regulatory Brief, Expense Practices for Private Fund Advisers / $r Scott Weisman PwC -- $t Compliance and Operational Issues (PowerPoint slides) / $r Scott Weisman PwC -- $t Jamie Sklar, Schulte Partner Stephanie Breslow Discusses Hedge Fund Liquidity Management Tools in Practising Law Institute Seminar in The Hedge Fund Law Report Vol. 5, No. 43 (November 15, 2012) / $r Stephanie R. Breslow Schulte Roth & Zabel LLP -- $t Outline, Managing Hedge Funds in Crisis / $r Stephanie R. Breslow Schulte Roth & Zabel LLP. 650 0 $a Hedge funds $x Management. 650 0 $a Hedge funds. $0 http://id.loc.gov/authorities/subjects/sh94006028 610 10 $a United States. $b Commodity Futures Trading Commission $x Rules and practice. 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 610 10 $a United States. $t Dodd-Frank Wall Street Reform and Consumer Protection Act. $0 http://id.loc.gov/authorities/names/no2010151934 650 0 $a Investment advisors. $0 http://id.loc.gov/authorities/subjects/sh85067705 650 0 $a Private equity. $0 http://id.loc.gov/authorities/subjects/sh2001009216 650 0 $a Brokers. $0 http://id.loc.gov/authorities/subjects/sh85017033 650 0 $a Swaps (Finance) $0 http://id.loc.gov/authorities/subjects/sh89002818 650 0 $a Hedge funds $z Cayman Islands. 650 0 $a Investments. $0 http://id.loc.gov/authorities/subjects/sh85067715 650 0 $a Cyberspace $x Security measures. 700 1 $a Jordan, Nora M., $d 1958- $e chair. $0 http://id.loc.gov/authorities/names/no2003046019 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2118. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20171220040723.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=B11F3482E55411E7AFB0C42A97128E48Initiate Another SILO Locator Search