Home » Compliance Blog » Best of the Web » Best of the Web – August 2016

Best of the Web – August 2016

dealing with the SEC

 

Welcome to the August 2016 BOTW.  ACA does a nice job explaining how to implement GIPS, Stradley Ronon offers some strategies on dealing with the SEC, and Schulte advises on hedge fund seeding.  We have also included articles on the fiduciary rule, pay-to-play, and Brexit.  The fall is here, and with less than 4 months to make it happen in 2016, don’t let your knowledge fall behind.  “Risk comes from not knowing what you’re doing.” (Warren Buffett)

 

Common Practices of GIPS®-Compliant Firms (ACA)

http://www.acacompliancegroup.com/sites/default/files/download/CommonPractices_of_GIPS_Compliant%20Firms%20_Whitepaper_ACA.pdf

 

Handling an Aggressive SEC (Stradley Ronon)

http://www.stradley.com/~/media/Files/Publications/2016/BoardIQ-StradleyRonon-Pressure-Points-fnl.pdf

 

Schulte Roth Partners Discuss Hedge Fund Seeding (Schulte Roth & Zabel)

https://www.srz.com/images/content/1/4/v2/141161/The-Hedge-Fund-Journal-Schulte-Roth-Partners-Discuss-Hedge-Fund.pdf

 

The New DOL Fiduciary Rule: Impact on Mutual Fund Distribution (Dechert)

https://www.dechert.com/files/Uploads/Documents/FSG/Onpoint%20-%20The%20New%20DOL%20Fiduciary%20Rule%20Impact%20on%20Mutual%20Fund%20Distribution.pdf

 

Recent SEC Charge Underscores the Need to Scrutinize Employer-Imposed Agreements and Policies (Drinker Biddle)

http://www.drinkerbiddle.com/insights/publications/2016/08/recent-sec-charge-underscores

 

Impact of Pay-to-Play Rules in the 2016 Election Cycle (K&L Gates)

http://www.klgates.com/impact-of-pay-to-play-rules-in-the-2016-election-cycle-08-18-2016/

 

“Continental Drift? Brexit’s Potential Impact on International Investment Managers” (Skadden)

https://www.skadden.com/insights/continental-drift-brexits-potential-impact-international-investment-managers

 

Trading and Markets Enforcement Report (Morgan Lewis)

https://www.morganlewis.com/~/media/files/publication/morgan%20lewis%20title/white%20paper/trading-markets-enforcement-report-august-2016.ashx?la=en

 

Stewart Conviction Reveals Government Blueprint for Proving Insider Trading Post-Newman (SadisGoldberg)

http://www.sglawyers.com/library-item/stewart-conviction-reveals-government-blueprint-proving-insider-trading-post-newman/

 

Significant Developments In Spoofing Cases: Coscia, 3Red and Sarao (Greenberg Traurig)

http://www.gtlaw.com/News-Events/Publications/Alerts/197220/Significant-Developments-In-Spoofing-Cases-Coscia-3Red-and-Sarao