Home » Compliance Blog » Best of the Web » Best of the Web – April 2017

Best of the Web – April 2017


“I have learned that nothing is certain except for the need to have strong risk management, a lot of cash, the willingness to invest even when the future is unclear, and great people.” (Jeffrey R. Immelt)


Welcome to the April 2017 BOTW.  While we await major (minor?) regulatory changes, the regulatory professionals offer guidance allowing everybody to catch up on ongoing challenges.  ACA ominously asks about your BD’s message archive, Dechert provides a guide to fund financing, and Schulte sees opportunities in registered closed-end funds.  We also like Cohen’s guidance on selling a private company and Skadden’s cybersecurity due diligence guide.  Things may look cloudy, but April showers…


What is Lurking in Your Broker-Dealer’s Message Archive? (ACA)

The ABCs of Fund Finance: Credit Facilities for Secondaries Funds and Funds of Funds (Dechert)

Untapped Opportunities in the Registered Alternative Closed-End Fund Space (Schulte Roth & Zabel)

The Emerging Need for Cybersecurity Diligence in M&A (Skadden)

The Sale of a Privately Held Company (Cohen)

Recent Tax Developments that May Impact the Private Equity Industry (Seward & Kissel)

Navigating Yates Memo Minefield and Broadening of Excess Side-A DIC D&O Insurance Policies (Perkins Coie)

FINRA Proposal Allows Selective Custom Performance Projections in Marketing Materials (Drinker)

Independent Sponsors in the Lower Middle Market (podcast) (Pepper Hamilton)

The SEC Sends a Stern Reminder That It Is Serious About Punishing “Spoofing” and “Layering” Schemes in the Securities Markets (K&L Gates)

Effect of the MIFID II Research Regime on US Investment Managers (Morgan Lewis)

How to Identify Inside Information – A Helpful Guideline Provided by the Italian Securities and Exchange Commission (Paul Hastings)

Leave a Reply