Gregory Nowak

Gregory Nowak

Pepper Hamilton LLP

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Latest Posts › Investment Adviser


FinCEN's Recently Proposed AML Rule: A Road Map for SEC-Registered Investment Advisers

The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) published a notice of proposed rulemaking (the Proposed Rule) on September 1, 2015 that would impose anti-money laundering (AML) requirements for investment...more

10/2/2015 - Anti-Money Laundering BSA/AML Closed-End Funds Compliance Dodd-Frank Financial Institutions FinCEN Investment Investment Adviser Investors Money Laundering Mutual Funds Patriot Act Pooled Investment Vehicles Registered Investment Advisors SAR SBIC SEC Suspicious Activity Reports U.S. Treasury

Fund and Adviser Tax Issues [Video]

Pepper partners Gregory J. Nowak and Steven D. Bortnick presented a webinar for West LegalEdCenter discussing issues that affect private funds and their managers. Over the hour program, Mr. Nowak and Mr. Bortnick covered a...more

4/22/2015 - Asset Management Fund Managers Investment Adviser Investment Funds Podcasts Tax Reform

Thomson Reuters Session - April: Investment Management, Hedge Funds & Registered Mutual Funds: What's Happening Now? [Video]

Pepper partner Gregory J. Nowak has regularly hosted a roundtable in Pepper’s New York office for private funds and their managers to discuss issues in the investment management world. He has recently started to give a...more

5/5/2014 - Appearance Policy Enforcement Actions Hedge Funds Investment Adviser SEC

Top 5 Things You Should Know About Online Direct (P2P) Lending Law And Regulations — Before You Do Anything Else!

Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more

4/30/2014 - Broker-Dealer Crowdfunding FINRA Investment Adviser Investment Opportunities Lending SEC

Form PF Filing Deadlines Loom For Midsized Hedge And PE Fund Advisers – Some Key Mechanical And Timing Issues

By now, most investment advisers registered with the Securities and Exchange Commission (SEC) have either (a) filed a Form PF, (b) are preparing to file a Form PF, (c) have determined that, since they do not advise “private...more

2/25/2013 - Form PF Investment Adviser Private Equity Funds

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