Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Best Practices for Independent Directors of Business Development Companies

As business development companies (BDCs) grow in popularity, the role of their independent directors grows in importance. Here we look at the increasingly important role that BDC independent directors play and how their...more

6/6/2014 - Best Management Practices Business Development Companies Capital Markets Conflicts of Interest Corporate Governance Directors Funding Investment Adviser Investment Portfolios Private Equity Funds Small Business

Investment Management Legal + Regulatory Update -- December 2013

In This Issue: Regulatory Updates - SEC Continues to Look at a Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers; SEC Grants Unusual Exemptive Relief from Pay-to-Play “Time-Out” Provision;...more

12/11/2013 - Broker-Dealer Compliance Conflicts of Interest Directors Fiduciary Duty FINRA Investment Funds SEC

How Directors Can Handle Adviser’s Exit From Fund Biz

An investment adviser’s decision to exit the fund business can present multiple challenges for the fund board. These challenges can be particularly difficult when the interests of the adviser and those of the fund and its...more

11/1/2013 - Advisory Contracts Assignments Conflicts of Interest Due Diligence Hedge Funds Investment Adviser Investment Company Act of 1940 Safe Harbors

FINRA Tells Broker-Dealers How to Better Manage Conflicts of Interest

A much-anticipated FINRA report concludes that broker-dealers must do more to manage conflicts of interest. FINRA said that the report, published on October 14, 2013, highlights “effective conflicts management...more

10/17/2013 - Broker-Dealer Conflicts of Interest FINRA

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

2/25/2013 - Broker-Dealer Conflicts of Interest Corporate Governance Enterprise Risks Fund Distribution Investment Adviser NEP OCIE Revenue Sharing Risk Management SEC

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