"#50993."--Spine "Prepared for distribution at the Hedge Fund Management 2014 Program, New York City and live Webcast --www.pli.edu, September 11"--Page 5. Index begins with letter C and is erratic. Includes bibliographical references and index.
Contents:
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) / Norm Champ U.S. Securities and Exchange Commission -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Letter to Never Before Examined Investment Advisers (February 20, 2014) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- Dodd Frank Act Changes to Investment Adviser Registration Requirements / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- Dodd Frank Act Changes to Investment Adviser Registration Requirements / Norm Champ U.S. Securities and Exchange Commission -- Investment Funds / Caroline Williams Walkers -- 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) / Norm Champ U.S. Securities and Exchange Commission -- 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) / Norm Champ U.S. Securities and Exchange Commission -- SIFMA Guidance on Rule 506(c) Verification (June 23, 2014) / Thomas J. Kim Sidley Austin LLP -- Prime Brokerage (PowerPoint slides) / Harry Jho Harry Jho LLP -- Investment Funds / Caroline Williams Walkers -- Davis Polk, Client Memorandum, CFTC Issues Cross Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements (January 7, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- 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 / Jessica A. Davis Lodge Hill Capital -- Dodd Frank Regulations Affecting Swaps (June 2014) -- Davis Polk, Flowcharts: Funds, Substantive Rules, Final Volcker Rule Regulations (January 6, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update (December 20, 2013) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Memorandum, CFTC Issues Cross Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements (January 7, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- PwC, From Black Box to Open Book, US Hedge Fund Trust and Transparency / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update (May 16, 2013) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update (January 27, 2014) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsletter, Investment Management Regulatory Update (September 26, 2013) / Nora Jordan Davis Polk & Wardwell LLP -- 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) / Nora Jordan Davis Polk & Wardwell LLP -- Davis Polk, Client Newsflash, SEC Adopts Private Offering Reforms Mandated by JOBS Act (July 10, 2013) / Nora Jordan Davis Polk & Wardwell LLP -- PwC, From Black Box to Open Book, US Hedge Fund Trust and Transparency / Stephanie R. Breslow Schulte Roth & Zabel LLP. Outline, Managing Hedge Funds in Crisis / Scott Weisman PwC -- PwC, FS Regulatory Brief, Expense Practices for Private Fund Advisers / Scott Weisman PwC -- Compliance and Operational Issues (PowerPoint slides) / Scott Weisman PwC -- 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) / Stephanie R. Breslow Schulte Roth & Zabel LLP -- Outline, Managing Hedge Funds in Crisis / Stephanie R. Breslow Schulte Roth & Zabel LLP.
Series:
Corporate law and practice course handbook series ; number B-2118
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