"#58960."--Spine "Prepared for distribution at the Hedge Fund Management 2015 Program, New York City and live Webcast --www.pli.edu, September 15, 2015."--Page 5 Includes bibliographical references and index.
Contents:
Norm Champ, Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014 (September 11, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Letter from Mary Jo White, Chair, U.S. Securities and Exchange Commission, to the Honorable Jeb Hensarling, Chairman, U.S. House of Representatives Committee on Financial Services Regarding SEC s Examination Coverage of Investment Advisers (December 16, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2014 07, Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows (June 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Norm Champ, Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014 (September 11, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Temporary Rule Regarding Principal Trades With Certain Advisory Clients, 17 CFR Part 275 [Release No. IA 3893; File No. S7 23 07] (December 17, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Press Release No. 2015 95, U.S. Securities and Exchange Commission, SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers (May 20, 2015) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2014 4, Guidance on the Testimonial Rule and Social Media (March 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Temporary Rule Regarding Principal Trades With Certain Advisory Clients, 17 CFR Part 275 [Release No. IA 3893; File No. S7 23 07] (December 17, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- The European Union s Alternative Investment Fund Managers Directive (AIFMD): A Practitioner s View (June 12, 2015) / David Sweet Senior Vice President & Counsel, The D. E. Shaw Group -- David Grim, Acting Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to PLI Investment Management Institute 2015 (March 5, 2015) / Nora Jordan Davis Polk & Wardwell LLP -- Press Release No. 2014 193, U.S. Securities and Exchange Commission, SEC Announces Creation of New Office Within its Division of Economic and Risk Analysis (September 11, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- The European Union s Alternative Investment Fund Managers Directive (AIFMD): A Practitioner s View (June 12, 2015) / David Sweet Senior Vice President & Counsel, The D. E. Shaw Group -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, European Regulatory Developments Regarding Remuneration in the Financial Services Industry (October 20, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, Interagency Volcker Rule FAQ Addresses Scope of U.S. Marketing Restrictions under SOTUS Covered Funds Exemption (March 26, 2015) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, Reminder: End of Alternative Investment Fund Managers Directive Transition Period (July 24, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, European Regulatory Developments Regarding Remuneration in the Financial Services Industry (October 20, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Investment Funds / Caroline Williams Walkers -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Summarizes Use of Form PF Data in Annual Staff Report (September 30, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Staff Responds to Questions About Form PF (December 16, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Prime Brokerage (PowerPoint slides) / Harry Jho Harry Jho LLP -- The SEC s Renewed Focus on Conflicts of Interest (PowerPoint slides) / Scott Weisman Managing Director, Financial Services Regulatory Practice, PwC -- Regulation of Funds in the Cayman Islands / Caroline Williams Walkers -- Investment Funds / Caroline Williams Walkers -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Announces Streamlined Process to Grant No Action Relief from Registration for Delegating CPOs Registration (June 23, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Investment Adviser Due Diligence Processes for Selecting Alternative Investments and Their Respective Managers, Volume IV, Issue 1 (January 28, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Announces Streamlined Process to Grant No Action Relief from Registration for Delegating CPOs Registration (June 23, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, 17 CFR Parts 240, 241, and 250 [Release No. 34 72472; File No. S7 02 13] RIN 3235 AL25, Application of Security Based Swap Dealer and Major Security Based Swap Participant Definitions to Cross Border Security Based Swap Activities / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Adopts Security Based Swap Cross Border Definitional Rule (July 24, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, 17 CFR Parts 240, 241, and 250 [Release No. 34 72472; File No. S7 02 13] RIN 3235 AL25, Application of Security Based Swap Dealer and Major Security Based Swap Participant Definitions to Cross Border Security Based Swap Activities / Nora Jordan Davis Polk & Wardwell LLP -- Department of Treasury, Office of the Comptroller of the Currency, Notice of Proposed Rulemaking and Request for Comment, Margin and Capital Requirements for Covered Swap Entities, 12 CFR Parts 45, 237, 349 (September 24, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, CFTC Letter No 14 114, Exemptive Relief to Use Additional Third Party Recordkeepers in Commission Regulations 4.7(b)(4) and 4.23(c) (September 8, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Department of Treasury, Office of the Comptroller of the Currency, Notice of Proposed Rulemaking and Request for Comment, Margin and Capital Requirements for Covered Swap Entities, 12 CFR Parts 45, 237, 349 (September 24, 2014) / Aaron Schlaphoff Attorney Fellow, Division of Investment Management , U.S. Securities and Exchange Commission -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Volume IV, Issue 4, Cybersecurity Examination Sweep Summary (February 3, 2015) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, CFTC Letter No. 14 126, CEA Section 4m(1) Self Executing Registration No Action Relief for Delegating CPOs When Certain Requirements are Satisfied (October 15, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Volume IV, Issue 4, Cybersecurity Examination Sweep Summary (February 3, 2015) / Aaron Schlaphoff Attorney Fellow, Division of Investment Management , U.S. Securities and Exchange Commission -- Managing Fund Liquidity (Outline) / Stephanie R Breslow Schulte Roth & Zabel LLP -- U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2015 02, Cybersecurity Guidance (April 2015) / Aaron Schlaphoff Attorney Fellow, Division of Investment Management , U.S. Securities and Exchange Commission -- Private Fund Managers Expanding into Registered Funds: Business and Legal Issues (PowerPoint slides) / Nora Jordan Davis Polk & Wardwell LLP -- Regulatory Outlook: Exams, Enforcement and AIFMD (Outline) / Stephanie R Breslow Schulte Roth & Zabel LLP -- Managing Fund Liquidity (Outline) / Stephanie R Breslow Schulte Roth & Zabel LLP -- Whistleblowers & Internal Investigations: The New Privilege and Confidentiality Challenges Facing Companies / Savaria B Harris DLA Piper LLP (US) Whistleblowers & Internal Investigations: The New Privilege and Confidentiality Challenges Facing Companies / Savaria B Harris DLA Piper LLP (US)
Series:
Corporate law and practice course handbook series ; number B2194
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