Hedge Funds

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Your daily dose of financial news The Brief – 2.8.16

Friday’s jobs report was disappointing as compared to the month earlier, but it contained news of a half a percentage point increase in average hourly earnings that pleased some economists who have been worrying about...more

Hedge Fund Standards Board Publishes Findings From First Cyber-Attack Simulation

On January 21, the Hedge Fund Standards Board (HFSB) released the results of its first cyber-attack simulation (via a press release dated January 19)....more

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

Spangenberg Finds Partner to Target Nucynta® Patent

About a year ago, certain hedge-fund petitioners made headlines by filing IPR petitions targeting various biopharma patents. Most notably, Kyle Bass, founder of Dallas-based hedge fund Hayman Capital Management, and his...more

UK Financial Regulatory Developments - January 2016 #11

HFSB reports on cyber-attack simulation - HFSB has published the results from its first table top cyber-attack simulation for hedge fund managers in London. The objective was to explore responses to three realistic...more

Split-dollar Life Insurance – A Tax-Leveraged Derivative for Hedge Fund Managers

The Emergency Economic Stabilization Act of 2008 ended the not so discrete secret of hedge fund managers, the deferred compensation arrangement with their offshore funds or as the New York Times described, “an unlimited Super...more

New Year: New Regulatory Developments Affecting Managers of Hedge Funds, Private Equity Funds and Other Private Funds

Regulators were busy at the end of 2015, especially in the United States, perhaps being motivated to push forward new rule proposals in anticipation of a change in administration after the presidential elections later this...more

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Investment Advisers - Annual Compliance Reviews: All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their...more

SEC 2016 Examination Priorities for Private Equity and Hedge Funds

The SEC Office of Compliance Inspections and Examinations, or OCIE, has published its list of 2016 examination priorities. Matters of interest for private equity and hedge fund sponsors include...more

SEC Staff Announces 2016 OCIE Examination Priorities

On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released its annual announcement on examination priorities in the coming calendar...more

SEC Announces 2016 Examination Priorities

Earlier this week, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities. These priorities are of particular...more

Significant Changes Affecting REITs in The Protecting Americans from Tax Hikes Act of 2015

On December 18, 2015, President Obama signed into law the Consolidated Appropriations Act, 2016, an omnibus spending bill, with a division referred to as the Protecting Americans From Tax Hikes Act of 2015 (the “Act”), which...more

Bridging the Week - January 2016 #2

FINRA Will Grade Members on Culture, Supervision and Liquidity Management; BDs Not Managing Spoofing Likely to Get Bad Scores: The Financial Industry Regulatory Authority kicked off the new year by issuing its annual...more

The SEC’s Cohen Settlement

Steven Cohen settled his long running case with the SEC. In the Matter of Steven A. Cohen, Adm. Proc. File No. 3-15382 (January 8, 2016). In the settlement Mr. Cohen consented to the entry of an order which precludes him from...more

Hedge Funds: A Look Toward 2016

BakerHostetler’s final hedge fund program of 2015 provided practical advice to hedge funds and investment advisers for the coming year. The presentations focused on “Hedge Fund Hot Topics for 2016,” “How to Effectively Manage...more

Several hedge fund-linked IPR Petitions Instituted: PTAB Finds No Abuse of Process

Following a string of denials, the PTAB has recently instituted IPR against several pharmaceutical patents where the petitions were filed by entities linked to hedge funds. Prior to these recent institution decisions, there...more

IOSCO reports on third hedge fund survey

IOSCO has reported on the findings of its third hedge fund survey. The survey gathered data from hedge fund managers and advisers about the markets in which they operate, their trading activities, leverage, funding and...more

Proposal of significant tightening of the rules on tax credits regarding German equities

On 17 December 2015 the German Ministry of Finance (Bundesfinanzministerium) circulated its consultation draft bill on the reform of fund taxation (‘Ministry’s Draft’). The Ministry’s Draft still contains a complete revision...more

"SEC Proposes Rule Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies"

On December 11, 2015, the Securities and Exchange Commission (SEC) voted to propose a new rule (the Proposed Rule) that significantly modifies the regulation of the use of derivatives by registered investment companies,...more

Financial Regulatory Developments Focus - December 2015 #2

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

IA Settles With SEC, USAO After Letter to Investors Admitting Losses

The SEC and the Manhattan U.S. Attorney’s Office brought actions against a hedge fund adviser who lost most of the money raised from investors through risky trading while trying to conceal that fact from them, the brokers and...more

Being clever is asking for trouble

It was in “This is Spinal Tap” where I heard the line how there was such a fine line between stupid and clever. When it comes to protecting retirement plans, I always say KISS, the acronym for “keep it simple stupid”. So...more

Venture Capital Coast to Coast – December 2015

2015 on Pace for Big Year Despite 3rd Quarter Cooldown - VC investment slowed in Q3 2015, yet 2015 is still on track to be one of the best years in several decades. “Venture Capital Cools in Third Quarter,”...more

BIO CEO: IPR System Threatens Medical Innovation

In an article published earlier this fall on Medium, Biotechnology Industry Organization (BIO) President and CEO Jim Greenwood urges Congress to modify the inter partes review (IPR) system, which he argues has "turn[ed] the...more

Bass’ Altruistic IPR Petitions

At the beginning of 2015, Kyle Bass, founder of Dallas-based hedge fund Hayman Capital Management, announced plans to challenge 15 drug companies’ patents via Inter Partes Review. As of November 30th, 2015 Bass and his...more

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