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Best of the Web – October 2016

 

Best of Web

“I’m so glad I live in a world where there are Octobers.” (L.M. Montgomery, Anne of Green Gables)

 

Welcome to the October 2016 BOTW.  Who doesn’t love October: changing leaves, pumpkin-spiced lattes, football?  The regulatory world is also experiencing its own transitions.  SIFMA addresses the consequences of financial regulation, Dechert offers advice on private equity compliance, and K&L Gates explains auditor independence.  For those with an interest, check out BBD’s piece on mutual fund accounting and Thompson Hine’s overview of the new liquidity risk management rules.

 

The Intended and Unintended Consequences for End Users of Post-Crisis Financial Regulation (SIFMA)

http://www.sifma.org/blog/intended-and-unintended-consequences-for-end-users-of-post-crisis-financial-regulation/

 

Managing the Compliance Aspects of Private Equity Investments (Dechert)

https://info.dechert.com/10/7315/landing-pages/managing-the-compliance-aspects-of-private-equity-investments.asp

 

Making Sense of Auditor Independence Issues (K&L Gates)

http://www.klgateshub.com/files/Publication/c061e86a-f8b0-4046-925c-dc262d6cf747/Presentation/PublicationAttachment/331a5d4e-eed7-4e7f-b6e4-e5473ef290dd/IM_Alert_10172016.pdf

 

Considerations for Mutual Funds for Allocating Earnings and Profits to Distributions (BBD)

http://www.bbdcpa.com/investment-company-notebook/allocatingearningsandprofitstodistributions

 

SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds (Thompson Hine)

http://www.thompsonhine.com/publications/sec-adopts-rule-requiring-liquidity-risk-management-programs-for-funds

 

DOL Releases Guidance on Best Interest Contract and other Exemptions (Groom)

http://www.groom.com/media/publication/1766_DOL_Releases_Guidance_on_Best_Interest_Contract_and_other_Exemptions.pdf

 

Regulatory Focus and Developments on Potential Broker-Dealer Requirements for Private Fund Sponsor Activities (Cordium)

http://www.cordium.com/briefing/regulatory-focus-and-developments-on-potential-broker-dealer-requirements-for-private-fund-sponsor-activities/

 

Summary of FINRA Regulatory Actions April – June 2016 (ACA)

http://www.acacompliancegroup.com/news/compliance-alert/summary-finra-regulatory-actions-april-%E2%80%93-june-2016

 

What You Need to Know About the SEC’s New Swing Pricing Rule (Stradley Ronon)

http://www.stradley.com/insights/publications/2016/10/fund-alert-october-24-2016

 

NYDFS: “First-in-the-Nation” Cybersecurity Proposal (Morgan Lewis)

https://www.morganlewis.com/~/media/files/publication/outside%20publication/article/wall-street-lawyer-nydfs-first-in-nation-cybersecurity-proposal-25oct16.ashx?la=en

 

New Proposed RIC Regulations (Greenberg Traurig)

http://www.gtlaw.com/News-Events/Publications/Alerts/198756/New-Proposed-RIC-Regulations

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