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Investment Management Update - March 2021

Just before we said goodbye to 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC...more

ISDA Swap Primer: Recent Developments and Considerations

Swap contracts, famously described as the financial equivalent of “weapons of mass destruction,” have continued to evolve since their heyday leading up to the 2008-2009 financial crisis. Most swaps use the standardized...more

3/2/2021  /  Dodd-Frank , ISDA , Swap Dealers , Swaps

Private Placement Life Insurance Discussion Podcast [Audio]

In this podcast, Troutman Pepper Partners Gregory J. Nowak and Justin H. Brown join Brian Divack and Harvey Feinberg of The PPLI Group for a discussion about private placement life insurance as an estate planning and tax...more

Investment Management Update - November 2020

Covering legal developments and regulatory news for funds, their advisers and industry participants through October of 2020. ...more

Using Regulation D Rule 506(c) to Raise Capital [Audio]

Raising investment capital through private offerings has always been a challenge, especially for new and emerging investment managers. COVID-19 has exasperated this challenge by significantly limiting traditional means of...more

SEC Proposes Finders Exemption

At the October 7, 2020 open meeting of the Securities and Exchange Commission (SEC), Chairman Jay Clayton announced that the Staff of the Commission proposed to grant exemptive relief, permitting natural persons to engage in...more

Investment Management Update - September 2020

RULEMAKING AND GUIDANCE - SEC Adopts Amendments to Exemptive Applications Procedures - On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more

Colorado Attorney General Announces Landmark Settlement in True Lender Litigation Actions

In January 2017, the Attorney General of Colorado filed two lawsuits against Marlette Funding LLC and Avant of Colorado LLC. Among other things, the lawsuits claimed that these two companies, as the online platforms for loans...more

Investment Management and Private Funds Roundtable – June 2020 [Video]

Pepper Hamilton partner Gregory J. Nowak hosted another virtual Investment Management and Private Funds Roundtable. Mr. Nowak was joined by Mark Dabertin, special counsel at Pepper Hamilton, to discuss the crossroads of alt...more

Investment Management Update - June 2020

SEC Grants Additional COVID-19 Relief to Business Development Companies - On April 8, the SEC issued an order granting relief to business development companies (BDCs) by permitting BDCs to issue and sell senior securities...more

Merchant Cash Advance Participations and the Federal Securities Laws

One of the most interesting financial innovations pre-COVID-19 was the creation of the merchant cash advance transaction, or MCAT. While the MCA industry has grown significantly, MCAT originators have faced a significant...more

Investment Management and Private Funds Roundtable: TALF 2020 and PPP Update [Video]

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

The Return of TALF Fund Opportunities Via COVID-19 Relief [Video]

The Federal Reserve is restarting its Term Asset-Backed Security Loan Facility (TALF) program, which was very successful during the 2008 financial crisis. This program is designed to strengthen the market for asset-backed...more

Protecting Intellectual Property - Investment Management Roundtable Discussion [Audio]

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

SEC OCIE Issues 2020 Examination Priorities

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 national examination priorities. This is the eighth year that OCIE has published its fiscal year examination priorities. ...more

Investment Management Roundtable Discussion – Data Privacy and Security [Audio]

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

Investment Management Roundtable Discussion – Regulatory and Enforcement Update [Audio]

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

Investment Management Roundtable Discussion – Internet 3.0: Decentralize Everything [Audio]

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

Investment Management Roundtable Discussion – Personal Estate Planning [Audio]

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

Investment Management Update - October 2019

SEC Adopts ETF Rule - On September 25, 2019, the Securities and Exchange Commission (SEC) unanimously adopted Rule 6c-11 under the 1940 Act to modernize the regulation of exchange-traded funds by establishing a clear and...more

Investment Management Update - July 2019

Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019. Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships - On...more

Investment Management Update – Exit Strategies [Audio]

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter. This month, Mr. Nowak, is joined by Richard Juliano,...more

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