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Day: March 15, 2016

Best of the Web – February 2016

 

Welcome to the February 2016 “Best of the Web.”  Grant Thornton wants you to keep your books and records to help sell your RIA, Schulte goes video to address your hedge fund questions, and K&L Gates discusses private fund performance and GIPS.  Also noteworthy is Seward’s hedge fund study and Vedder’s list of annual compliance obligations.  So much information, so little time…

 

Plan now: Don’t let your books and records stall the sale of your RIA (Grant Thornton)

http://www.grantthornton.com/issues/library/articles/financial-services/2016/AM/GAIM/books-and-records.aspx

 

SRZ Attorneys Answer Hedge Fund FAQs In New SRZ Insights Videos (Schulte, Roth & Zabel)

http://www.srz.com/SRZ_Attorneys_Answer_Hedge_Fund_FAQs_in_New_SRZ_Insights_Videos/

 

GIPS Guidance Statement on Broadly Distributed Pooled Funds and Potential Impacts (K&L Gates)

http://www.klgates.com/gips-guidance-statement-on-broadly-distributed-pooled-funds-and-potential-impacts-02-22-2016/

 

SEC Reportedly Adding 100 New Examiners to Investment Adviser Exam Staff (Cordium)

http://www.cordium.com/briefing/sec-reportedly-adding-100-new-examiners-to-investment-adviser-exam-staff/

 

Seward & Kissel’s 2015 New Hedge Fund Study (Seward & Kissel)

http://www.sewkis.com/files/Publication/300a15e7-57e6-4e78-bbcd-5a61519dec00/Presentation/PublicationAttachment/6bbd89ef-d902-4856-ad42-5e490959dbd0/HedgeFundStudy2_26_16_single.pdf

 

Annual Compliance Obligation Reminders (Vedder Price)

http://www.vedderprice.com/files/Publication/0f9be327-5462-4823-8966-b231d1066464/Presentation/PublicationAttachment/47024931-301d-4080-9509-b297a41bd8de/2016.02%20Vedder%20Price%20Investment%20Services%20Bulletin%20FINAL.pdf

 

Private Equity Fund Start-Up Checklist (Marcum)

http://www.marcumllp.com/pdf/AIG_Private_Equity_Fund_Start-Up_Checklist.pdf

 

Fee Reporting Template Unveiled by Institutional Limited Partners Association (Skadden)

http://www.skadden.com/insights/fee-reporting-template-unveiled-institutional-limited-partners-association

 

Financial Crime Compliance: Beyond Banking (Duff & Phelps)

http://www.duffandphelps.com/insights/publications/compliance-and-regulatory/viewpoints/financial-crime-compliance-beyond-banking

 

NASAA Legislation – Protecting Vulnerable Adults from Financial Exploitation (Oyster)

http://oysterllc.com/2016/02/nasaa-legislation-protecting-vulnerable-adults-from-financial-exploitation/

 

SEC Seeks Comments on Changes to Rules Governing Mutual Fund Transfer Agents (Ropes & Gray)

https://www.ropesgray.com/newsroom/alerts/2016/February/SEC-Seeks-Comments-on-Changes-to-Rules-Governing-Mutual-Fund-Transfer-Agents.aspx

 

Algorithmic Trading Developers May Be Required to Register (SadisGoldberg)

http://www.sglawyers.com/library-item/algorithmic-trading-developers-may-be-required-to-register/

 

CFTC Staff Clarifies Registration Relief Available to Non-US Asset Managers (Morgan Lewis)

https://www.morganlewis.com/pubs/cftc-staff-clarifies-registration-relief-available-to-non-us-asset-managers

 

Reminder: NFA Cybersecurity Interpretive Notice Goes Into Effect on March 1, 2016 (ACA)

http://www.acacompliancegroup.com/news/compliance-alert-cyber-alert/reminder-nfa-cybersecurity-interpretive-notice-goes-effect-march-1

 

Navigating the New Partnership Audit Rules: Sea Change or Same Course? (Dechert)

http://sites.edechert.com/10/6228/february-2016/navigating-the-new-partnership-audit-rules–sea-change-or-same-course-.asp?sid=1677d7a1-ac19-4ec3-8a9f-a57de72ddaaf