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Hedge Funds

Hardin Compliance Consulting LLC

Filing Deadlines and To Do List for July 2018

INVESTMENT MANAGERS AND HEDGE/PRIVATE FUND MANAGERS - Form 13H: Following an initial filing of Form 13H, all large traders must make an amended filing to correct inaccurate information promptly (within ten days) following...more

White & Case LLP

Financial institutions M&A trends: Banks

by White & Case LLP on

Bank M&A bounces back - Banks have emerged from the global financial crisis with a clearer picture of how they need to be structured. Strategic M&A is back as banks across Europe consolidate and lean in to the fintech...more

Hardin Compliance Consulting LLC

SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds...

For Investment Advisers: SEC Actions - SEC Stops All In-House Cases after Defeat in Supreme Court: The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s...more

Hardin Compliance Consulting LLC

Cayman Islands Requires Companies to Maintain Beneficial Ownership Register; Is Your Fund In or Out (of Scope)?

As of July 1, 2018, companies and limited liability companies incorporated or registered in the Cayman Islands are required to maintain a beneficial ownership register at their Cayman Islands-registered offices (or appointed...more

Robins Kaplan LLP

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Tariffs were a hot topic at this weekend’s G-7 meeting in Canada, and as we’ve seen over the past weeks, it was once again the US vs. the world....more

Hardin Compliance Consulting LLC

Filing Deadlines and To Do List for June 2018

FOR HEDGE/PRIVATE FUND MANAGERS - Distribute Audited Financial Statements for Private Funds for Funds of Funds: Private fund investment advisers should have their funds audited by an independent, PCAOB-registered...more

Ropes & Gray LLP

Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks

by Ropes & Gray LLP on

With the increase in the number of hedge fund and private equity managers starting or considering starting a credit fund, it is more important than ever to understand and address the challenges and risks as they relate to...more

Pepper Hamilton LLP

Federal Reserve Proposes Rulemaking to Simplify the Volcker Rule

by Pepper Hamilton LLP on

The Federal Reserve Board (FRB) has taken the first step toward providing banks meaningful relief from the Volcker Rule by soliciting public comment on a proposed rule that would simplify and streamline compliance....more

Proskauer Rose LLP

A Practical Guide to the Regulation of Hedge Fund Trading Activities

by Proskauer Rose LLP on

The trading activities of hedge funds raise a number of complex issues under the federal securities laws. Proskauer’s Practical Guide to the Regulation of Hedge Fund Trading Activities offers a concise, easy-to-read overview...more

Hardin Compliance Consulting LLC

Lessons Learned from Recent SEC and FINRA Cases - June 2018

Inflated Valuations Stay in the SEC’s Cross Hairs: The SEC brought a complaint against Premium Point Investments LP (“Premium Point”), Anilesh Ahuja aka Neil Ahuja, Amin Majidi and Jeremy Shor, for a scheme to pump up their...more

Ropes & Gray LLP

Proposed Revisions to the Volcker Rule—Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and...

by Ropes & Gray LLP on

On May 30, 2018, the Federal Reserve Board issued a notice of proposed rulemaking and asked for comment on a proposed rule to simplify and tailor compliance requirements relating to the regulation implementing section 13...more

Polsinelli

Fed Board Clears Rewrite of Volcker Rule

by Polsinelli on

Proposed Changes Subject to 60-Day Comment Period - On May 30, the Federal Reserve Board of Governors voted unanimously in favor of a proposal to amend section 13 of the Bank Holding Company Act (Volcker Rule), which was...more

Cadwalader, Wickersham & Taft LLP

A Look At The Proposal to Simplify The Volcker Rule

On May 30, the Federal Reserve issued a proposal (the “Proposed Regulations”) to revamp regulations implementing the Volcker Rule, a centerpiece of the Dodd-Frank Act. ...more

Thomson Reuters Financial & Risk

IFRS 9 hedge accounting: A financial opportunity for corporate treasuries

IFRS 9 hedge accounting should be viewed as a potential financial opportunity for corporate treasuries, rather than a compliance constraint. What are the risk management benefits of using this new accounting standard?...more

Robins Kaplan LLP

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Meet ZTE (well, meet them again.  We’ve discussed them before), the massive Chinese electronics maker banned last month by the White House from using US-made components that could well be the “first casualty of the high-tech...more

Dorsey & Whitney LLP

Political Intelligence Consultant, CMS Official, Guilty of Insider Trading

by Dorsey & Whitney LLP on

A political intelligence consultant, a former employee at the Centers for Medicare and Medicaid Services or CMS, and two partners at a New York hedge fund were found guilty by a jury on charges of conspiracy, securities fraud...more

Hardin Compliance Consulting LLC

Filing Deadlines and To Do List for May 2018

FOR INVESTMENT MANAGERS - Form 13F: Form 13F quarterly filing is due for Q1 2018 within 45 days after the end of the calendar quarter. Due date is May 15, 2018....more

Proskauer Rose LLP

Liquidity Management Rule – Delays and Revisions

by Proskauer Rose LLP on

On October 13, 2016, the Securities and Exchange Commission (the "SEC") adopted Rule 22e-4 (the "Liquidity Rule") under the Investment Company Act of 1940, as amended, to require each registered open-end management investment...more

Dechert LLP

Financial Services Quarterly Report - First Quarter 2018: Hong Kong SFC Publishes Consultation Proposals on Public Fund...

by Dechert LLP on

Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more

Hardin Compliance Consulting LLC

Filing Deadlines and To Do List for April 2018 for RIAs and BDs

FOR INVESTMENT MANAGERS AND HEDGE/PRIVATE FUND MANAGERS - Form ADV Part 2A: Registered investment advisers are required to distribute to each client an updated Form ADV Part 2A or a summary of material changes with an offer...more

Thomson Reuters Financial & Risk

Powering asset management – Overcoming research unbundling

Faced with MiFID II research challenges, such as research unbundling, buy-side firms are using Thomson Reuters StarMine to ‘analyze the analysts’ and decide where to allocate spending on sell-side reports....more

Thomson Reuters Financial & Risk

Why dealmakers have great expectations for 2018

In 2017 global dealmaking surpassed expectations, with M&A above US$3 trillion for the fourth year in a row. Will 2018 also exceed expectations? ...more

Akin Gump Strauss Hauer & Feld LLP

Big Data and the Risks of Insider Trading

In the perennial quest for alpha, investment managers have turned increasingly to big and alternative data for market insights. The most prominent consumers of this data on Wall Street are managers of ‘‘quant’’ funds, which...more

Thomson Reuters Financial & Risk

Destination Quant: Where analysts explore the power of data

The thirst for data in the investment process is never ending, which is why Thomson Reuters has launched Destination Quant to help the quant investing industry get the most out of quant research....more

Thomson Reuters Financial & Risk

Eikon App Studio: A powerful tool for internal apps

Eikon App Studio is a single platform for accessing and hosting apps, making it a powerful tool in the delivery of data, analytics and in-house capabilities such as internal apps....more

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JD Supra Privacy Policy

Updated: May 25, 2018:

JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.

This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services"). By using our Website and registering for one of our Services, you are agreeing to the terms of this Privacy Policy.

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Links to Other Websites

Our Website and Services may contain links to other websites. The operators of such other websites may collect information about you, including through cookies or other technologies. If you are using our Website or Services and click a link to another site, you will leave our Website and this Policy will not apply to your use of and activity on those other sites. We encourage you to read the legal notices posted on those sites, including their privacy policies. We are not responsible for the data collection and use practices of such other sites. This Policy applies solely to the information collected in connection with your use of our Website and Services and does not apply to any practices conducted offline or in connection with any other websites.

Information for EU and Swiss Residents

JD Supra's principal place of business is in the United States. By subscribing to our website, you expressly consent to your information being processed in the United States.

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You can make a request to exercise any of these rights by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

You can also manage your profile and subscriptions through our Privacy Center under the "My Account" dashboard.

We will make all practical efforts to respect your wishes. There may be times, however, where we are not able to fulfill your request, for example, if applicable law prohibits our compliance. Please note that JD Supra does not use "automatic decision making" or "profiling" as those terms are defined in the GDPR.

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California Privacy Rights

Pursuant to Section 1798.83 of the California Civil Code, our customers who are California residents have the right to request certain information regarding our disclosure of personal information to third parties for their direct marketing purposes.

You can make a request for this information by emailing us at privacy@jdsupra.com or by writing to us at:

Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

Some browsers have incorporated a Do Not Track (DNT) feature. These features, when turned on, send a signal that you prefer that the website you are visiting not collect and use data regarding your online searching and browsing activities. As there is not yet a common understanding on how to interpret the DNT signal, we currently do not respond to DNT signals on our site.

Access/Correct/Update/Delete Personal Information

For non-EU/Swiss residents, if you would like to know what personal information we have about you, you can send an e-mail to privacy@jdsupra.com. We will be in contact with you (by mail or otherwise) to verify your identity and provide you the information you request. We will respond within 30 days to your request for access to your personal information. In some cases, we may not be able to remove your personal information, in which case we will let you know if we are unable to do so and why. If you would like to correct or update your personal information, you can manage your profile and subscriptions through our Privacy Center under the "My Account" dashboard. If you would like to delete your account or remove your information from our Website and Services, send an e-mail to privacy@jdsupra.com.

Changes in Our Privacy Policy

We reserve the right to change this Privacy Policy at any time. Please refer to the date at the top of this page to determine when this Policy was last revised. Any changes to our Privacy Policy will become effective upon posting of the revised policy on the Website. By continuing to use our Website and Services following such changes, you will be deemed to have agreed to such changes.

Contacting JD Supra

If you have any questions about this Privacy Policy, the practices of this site, your dealings with our Website or Services, or if you would like to change any of the information you have provided to us, please contact us at: privacy@jdsupra.com.

JD Supra Cookie Guide

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How We Use Cookies and Other Tracking Technologies

We use cookies and other tracking technologies to:

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There are different types of cookies and other technologies used our Website, notably:

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JD Supra Cookies. We place our own cookies on your computer to track certain information about you while you are using our Website and Services. For example, we place a session cookie on your computer each time you visit our Website. We use these cookies to allow you to log-in to your subscriber account. In addition, through these cookies we are able to collect information about how you use the Website, including what browser you may be using, your IP address, and the URL address you came from upon visiting our Website and the URL you next visit (even if those URLs are not on our Website). We also utilize email web beacons to monitor whether our emails are being delivered and read. We also use these tools to help deliver reader analytics to our authors to give them insight into their readership and help them to improve their content, so that it is most useful for our users.

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Updates to This Policy

We may update this cookie policy and our Privacy Policy from time-to-time, particularly as technology changes. You can always check this page for the latest version. We may also notify you of changes to our privacy policy by email.

Contacting JD Supra

If you have any questions about how we use cookies and other tracking technologies, please contact us at: privacy@jdsupra.com.

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