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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

 

Best of the Web – May 2016

Best of Web

 

Welcome to the May 2016 “Best of the Web.”  Some provocative questions highlight this month’s BOTW.  K&L Gates asks whether recent criticisms of the SEC are fair or unfair.  SEC3 then inquires whether you are ready for an SEC exam.  Morgan Lewis asks whether independent directors are in the SEC crosshairs.  We have also included some articles about the fiduciary rule and pay-to-play to round out your early summer vacation reading.

 

Recent Criticisms of the SEC: Fair or Unfair? (K&L Gates)

http://www.klgates.com/recent-criticisms-of-the-sec-fair-or-unfair-05-09-2016/

 

Are you ready for your next SEC exam? (SEC3)

http://seccc.com/images/sec-exam-file.pdf

 

Independent Directors: in the SEC’s crosshairs? (Morgan Lewis)

https://www.morganlewis.com/~/media/files/publication/outside%20publication/article/independent-directors-sec_may2016.ashx?la=en

 

Complying on pay-to-play: tips for CCOs (Schulte Roth & Zabel)

https://www.srz.com/resources/complying-on-pay-to-play-tips-for-ccos.html

 

A Fund Manager’s Cyber Security Action Plan (SadisGoldberg)

http://www.sglawyers.com/wp-content/uploads/2016/05/00302614.pdf?lbisphpreq=1

 

FINRA Sweep Letter Regarding Mutual Fund Waivers (ACA)

http://www.acacompliancegroup.com/news/compliance-alert/finra-sweep-letter-regarding-mutual-fund-waivers

 

The Evolution of Marketplace Lending (Dechert)

http://sites.edechert.com/10/6821/may-2016/the-evolution-of-marketplace-lending.asp?sid=99a365af-c777-4862-ac58-19d91ffeda8a

 

The New Fiduciary Rule’s Effect on Investment Managers (Seward & Kissel)

http://www.sewkis.com/pubs/xprPubDetail.aspx?xpST=PubDetail&pub=761

 

The Final Fiduciary Rule: A Plan Sponsor’s Perspective (Groom)

http://www.groom.com/media/publication/1691_The_Final_Fiduciary_Rule_A_Plan_Sponsors_Perspective.pdf

 

SEC Proposes Incentive-Based Compensation Rule: How to Determine Whether Your Firm Will Be Impacted (Ropes & Gray)

https://www.ropesgray.com/newsroom/alerts/2016/May/SEC-Proposes-Incentive-Based-Compensation-Rule-How-to-Determine-Whether-Your-Firm-Will-be-Impacted.aspx

 

Potential Effects of the Proposed Consolidated Audit Trail on Investment Advisers, Broker-Dealers, and Other Market Participants

(Willkie Farr & Gallgher)

http://www.willkie.com/~/media/Files/Publications/2016/05/Potential_Effects_of_the_Proposed_Consolidated_Audit_Trail.pdf