Pepper Hamilton partner Gregory J. Nowak recently held a virtual Investment Management and Private Funds Roundtable. Mr. Nowak was joined by Genna Garver, partner at Troutman Sanders, to discuss a variety of current topics,...more
5/20/2020
/ Asset Management ,
Capital Raising ,
Coronavirus/COVID-19 ,
Enforcement Actions ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Paycheck Protection Program (PPP) ,
Private Funds ,
Securities Litigation ,
Term Asset-Backed Securities Loan Facility (TALF)
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/10/2020
/ Alternative Investment Funds ,
Asset Management ,
Brokerage Accounts ,
Brokers ,
Cyber Insurance ,
Cybersecurity ,
Data Management ,
Data Privacy ,
Data Protection ,
Data Security ,
Fund Managers ,
Hedge Funds ,
Intellectual Property Protection ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Popular ,
Private Equity ,
Private Equity Firms ,
Private Equity Funds ,
Registered Funds ,
SMAs
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/10/2020
/ Civil Monetary Penalty ,
Department of Justice (DOJ) ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Injunctions ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
Self-Reporting
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/9/2020
/ Accredited Investors ,
Annuities ,
Death Benefits ,
Estate Planning ,
Financial Services Industry ,
Hedge Funds ,
Insurance Industry ,
Investment Funds ,
Investment Management ,
Investors ,
Life Insurance ,
Private Funds ,
Qualified Purchaser ,
Retirement ,
Tax Exemptions ,
Tax Planning
Industry participants are well-advised to review their practices to ensure compliance with the Advisers Act, and the SEC’s and SEC’s Staff’s interpretations of when registration as a broker-dealer is required....more
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
In This Presentation:
- WHY IS DATA PRIVACY AND SECURITY IMPORTANT?
..Why is it important to protect data?
..SEC Cybersecurity Risk Alert
..FINRA Scrutiny
- BEFORE THE BREACH
...more
New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more