Course Handbook  Course Handbook

Hedge Fund Management 2016

Publication Date: September 2016 Number of Volumes: 1
ISBN Number: 9781402427411 Page Count: 762 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: David Grim, Director, U.S. Securities and Exchange Commission, Division of Investment Management, Remarks to PLI Investment Management Institute 2016 (March 3, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 2: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2016 (January 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 3: 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) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 4: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, Examination of Advisors That Outsource Their Chief Compliance Officers, Volume V, Issue 1 (November 9, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 5: Press Release 2016-38, U.S. Securities and Exchange Commission, SEC Announces Creation of Office of Risk and Strategy for its National Exam Program: Peter B. Driscoll Named Chief Risk and Strategy Officer (March 8, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 6: Private Fund—Enforcement Trends (July 19, 2016) James H.R. Windels ~ Davis Polk & Wardwell LLP
Chapter 7: U.S. Securities and Exchange Commission, Responses to Frequently Asked Questions Regarding the Commission’s Rule under Section 13 of the Bank Holding Company Act (March 4, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 8: Andrew Ceresney, U.S. Securities and Exchange Commission, Director of the Division of Enforcement, Keynote Address 2015 National Society of Compliance Professionals, National Conference (November 4, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 9: Andrew J. Donohue, Chief of Staff, U.S. Securities and Exchange Commission, Remarks at NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference (October 14, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 10: Press Release 2015-240, U.S. Securities and Exchange Commission, SEC Staff Publishes Private Funds Statistics Report (October 16, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 11: Private Funds Statistics Fourth Calendar Quarter 2014, U.S. Securities and Exchange Commission, Division of Investment Management, Risk and Examinations Office (December 30, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 12: U.S. Securities and Exchange Commission, Agency Financial Report, Fiscal Year 2015 (November 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 13: U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2016-03, FAST Act Changes Affecting Investment Advisors to Small Business Companies (March 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 14: U.S. Securities and Exchange Commission, Division of Investment Management, Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (August 13, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 15: Davis Polk, Client Memorandum, Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines (June 18, 2014) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 16: 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
Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 17: Mary Jo White, Chair, U.S. Securities and Exchange Commission, Remarks at MFA Outlook 2015 Conference—“Five Years On: Regulation of Private Fund Advisers after Dodd-Frank” (October 16, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 18: Liability and Outsourcing—Identifying and Controlling the Real Risks Janaya P Moscony ~ SEC Compliance Consultants, Inc
Chapter 19: Maples and Calder Funds Update—Ireland (January–March 2016) Michael Richardson ~ Maples and Calder
Chapter 20: UCITS: A Brief for Alternative Asset Managers Michael Richardson ~ Maples and Calder
Chapter 21: Davis Polk, Client Newsletter, Investment Management Regulatory Update, BEA Releases New Benchmark Survey for Financial Services Providers, Including Managers of Hedge, Private Equity and Other Private Funds and Separate Accounts (September 24, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 22: Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Staff Issues Report on Definition of “Accredited Investor” (January 27, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 23: Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act (June 27, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 24: Davis Polk, Client Newsletter, Investment Management Regulatory Update, SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act (May 27, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 25: Cayman Islands: Investment Funds (July 2016) Caroline Williams ~ Walkers
Chapter 26: Cayman Islands: Regulation of Funds in the Cayman Islands (July 2016) Caroline Williams ~ Walkers
Chapter 27: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Risk Alert, OCIE’s 2015 Cybersecurity Examination Initiative, Volume IV, Issue 8 (September 15, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 28: U.S. Securities and Exchange Commission, Release No. 2015-20, SEC Alerts Investors, Industry on Cybersecurity (February 3, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 29: 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) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 30: U.S. Securities and Exchange Commission, Division of Investment Management, IM Guidance Update, No. 2015-02, Cybersecurity Guidance (April 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 31: Davis Polk, Client Newsletter, Investment Management Regulatory Update, CFTC Responds to FAQs Regarding Form CPO-PQR (November 24, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 32: Press Release 2016-71, U.S. Securities and Exchange Commission, SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (April 15, 2016) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 33: Davis Polk, Client Memorandum, SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants (August 26, 2015) Leor Landa ~ Davis Polk & Wardwell LLP
Chapter 34: Craigslist, Inc. v. Kerbel, 2012 WL 3166798 (N.D. Cal. 2012) Marc J Zwillinger ~ ZwillGen PLLC
Chapter 35: Cvent, Inc. v. Eventbrite, Inc., 739 F.Supp.2d 927 (E.D. Va. 2010) Marc J Zwillinger ~ ZwillGen PLLC
Chapter 36: Facebook, Inc. v. Power Ventures, Inc., 844 F.Supp.2d 1025 (N.D. Cal. 2012) Marc J Zwillinger ~ ZwillGen PLLC
Chapter 37: Southwest Airlines Co. v. BoardFirst, L.L.C., 2007 WL 4823761 (N.D. Tex. 2007) Marc J Zwillinger ~ ZwillGen PLLC
Chapter 38: U.S. v. Auernheimer, Case No. 2:11-cr-00470-SDW-1, Excerpt from Appellant’s Reply Brief (D.N.J. 2013) Marc J Zwillinger ~ ZwillGen PLLC
Index

This Course Handbook was compiled for the program, Hedge Fund Management 2016.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Leor Landa, Davis Polk & Wardwell LLP
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