Jan. 19, 2017
Jan. 19, 2017
BakerHostetler Panel Analyzes SEC Use of Administrative Proceedings and Whistleblower Incentives, and Provides Guidance for Fund Managers Facing an Examination (Part Two of Two)
Ireland Further Opens the Door for Loan Origination in Europe by Relaxing Restrictions on Eligible Investments by Certain Irish Funds
ACA 2016 Compliance Survey Covers SEC Exams; Compliance Staffing and Budgeting; Annual and Ongoing Compliance Reviews; and AML/Sanctions Compliance (Part One of Two)
ACA Compliance Group (ACA) recently completed its 2016 Alternative Fund Manager Compliance Survey, covering a number of top-of-mind issues facing the managers of hedge funds and more illiquid private funds. The survey’s findings were described in a recent webinar by ACA’s Danielle Joseph, a senior principal consultant, and Brian Lattanzio, a senior compliance analyst and private equity associate. This article, the first in a two-part series, examines the survey’s findings with respect to recent SEC examination experiences; compliance staffing and budgeting; compliance reviews, testing and training; and anti-money laundering and sanctions compliance. The second article will summarize the survey’s findings and speakers’ insights concerning custody; fees; safeguarding assets; and personal trading. For our two-part coverage of ACA’s 2015 compliance survey, see: “SEC Exams, MNPI and Restricted Lists” (Oct. 1, 2015); and “Expert Networks, Fund Expenses and Electronic Communications” (Oct. 8, 2015). For coverage of prior ACA surveys, see “SEC Exams, CCOs, Compliance Reviews, Custody, Fees and Personal Trading” (Dec. 11, 2014); “Current Hedge Fund Practices on Marketing, Trading, Counterparties and Valuation” (Jun. 13, 2014); and “Benchmarking of Private Fund Manager Compliance Practices (Part One of Two)” (Oct. 3, 2013).
Read full article …Best Practices for Fund Managers When Entering Into ISDAs: Negotiating Event of Default and Termination Event Provisions (Part Two of Three)
Cyber Insurance Coverage, Pre-Breach Mitigation Efforts and Post-Breach Response Plans Can Reduce Harm to Fund Managers From Cyber Attacks
Morgan Stanley Settles SEC Charges Stemming From the Use of Customer Cash to Finance a Broker’s Hedge Positions
Robert Woll Joins Mayer Brown in Hong Kong
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