Course Handbook  Course Handbook

Private Fund Regulatory Developments and Compliance Challenges 2017

Publication Date: January 2017 Number of Volumes: 1
ISBN Number: 9781402428173 Page Count: 128 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: Proposed Amendments to the SEC’s Order Handling Disclosure Requirements K. Susan Grafton ~ Dechert LLP
Chapter 2: An Overview of the Commodity Futures Trading Commission’s Large Trader Reporting Program Rita M Molesworth ~ Willkie Farr & Gallagher LLP
Chapter 3: FinCEN’s Proposed Anti-Money Laundering Regulations for Investment Advisers K. Susan Grafton ~ Dechert LLP
Chapter 4: Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program K. Susan Grafton ~ Dechert LLP
Linda J Muzere ~ Dechert LLP
Chapter 5: FINRA “Capital Acquisition Broker” Rules are a Solution for Private Equity and Hedge Funds and Private Investment Banking/M&A Elliott R Curzon ~ Dechert LLP
K. Susan Grafton ~ Dechert LLP
John P Alexander ~ Dechert LLP
Chapter 6: SEC’s Focus on Private Equity Firms Continues with Recent Action David A Vaughan ~ Dechert LLP
Alexander J Maro ~ Dechert LLP
Michael L Sherman ~ Dechert LLP
Chapter 7: SEC Amends Form ADV and Investment Adviser Recordkeeping Rules David A Vaughan ~ Dechert LLP
Mark D Perlow ~ Partner, Kirkpatrick & Lockhart Preston Gates Ellis LLP
Ashley N Rodriguez ~ Dechert LLP
Christine Ayako Schleppegrell ~ Dechert LLP
Michael L Sherman ~ Dechert LLP
Index

This Course Handbook was compiled for the program, Private Fund Regulatory Developments and Compliance Challenges 2017.

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)
K. Susan Grafton, Dechert LLP
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