SECURITIES AND OTHER FINANCIAL PRODUCTS
SECURITIES AND OTHER FINANCIAL PRODUCTS
Investment Adviser Regulation A Step-by-Step Guide to Compliance and the Law Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
“For securities attorneys, Hedge Fund Regulation may become the next favorite in deciphering the tangled web of hedge funds.” — Legal Information Alert
Hedge Fund Regulation Scott J. Lederman (Grosvenor Capital Management, LP)
This treatise guides investment advisers and their counsel through relevant federal, state, and SEC rules. Readers can find 26 forms covering disclosure and registration requirements, template SEC inquiry responses, compliance checklists, and more. They can also review critical practice standards and pointers about Form ADV, advisory contracts, advertising guidelines, soft-dollar arrangements, requirements for European Union clients, and recordkeeping rules. Investment advisers routinely confront new laws reshaping their obligations. PLI’s Upkeep Service can help them and their attorneys plan accordingly to avoid sanctions.
2 looseleaf volumes, 2,056 pages, $766, Item #42542, ISBN 978-1-4024-1900-3, Updated annually or as needed
This treatise offers an extensive examination into hedge funds and the ever-changing regulations that impact their structure, activities, and operations. Written by a longtime hedge fund president and chief executive officer, this resource offers astute guidance on structuring, organizing, and managing hedge funds. Hedge fund counsel and financial industry stakeholders will find invaluable pointers on Regulations D, S, and other statutes; anti-money laundering and privacy compliance; highly regulated investors; complex assets and transactions; and federal agency reporting requirements. The guide includes flowcharts and checklists that cover investment adviser registration, CPO annual reporting, and recordkeeping requirements. Enjoy automated updates on hedge fund regulatory issues with PLI’s Upkeep Service.
3 looseleaf volumes, 4,876 pages, $766, Item #32841, ISBN 978-1-4024-1690-3, Updated annually or as needed
Private Equity Funds Formation and Operation Stephanie R. Breslow and Phyllis Schwartz (Schulte Roth & Zabel LLP)
Mutual Funds and Exchange Traded Funds Regulation Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
Securities Litigation A Practitioner’s Guide
This two-volume treatise offers professionals who work at or advise mutual and exchange- traded funds an in-depth look into the regulatory scheme governing these funds. The editor — a frequent PLI contributor — and several contributing authors share their expertise and practical perspectives from their experiences in the field. Readers will discover insights on taxation considerations, prospectus delivery and disclosure standards, safe harbors, valuation practices, compliance concerns, conflicts of interest, contract drafting,
This practice guide introduces readers to the skills and knowledge required to structure, run, and staff private equity funds. Written by expert private equity fund specialists from Schulte Roth & Zabel LLP, this book details the regulatory pitfalls and compliance pointers that anyone who counsels or manages private equity funds should know. Practitioners and private equity fund professionals will receive guidance tailored to different private equity fund categories, including private investment in public equity, special purpose acquisition
Edited by Lyle Roberts (Shearman & Sterling LLP) and Jonathan K. Youngwood (Simpson Thacher & Bartlett LLP)
1 looseleaf volume, 910 pages, $535, Item #397837, ISBN 978-1-4024-4605-4, Updated annually or as needed
Securities Litigation: A Practitioner’s Guide is a first-stop, comprehensive reference tool that supports securities law litigators throughout the life cycle of a securities lawsuit, from the filing of a complaint through the case’s conclusion. Clearly organized into chapters focused on specific legal issues, the book examines key substantive, procedural, and strategic issues related to each stage of litigation, including an analysis of pleading requirements, discovery, class certification, loss causation, experts, summary judgment, trial, settlement, and more. The book also includes chapters covering the defense of specific types of claims brought under the Securities Act of 1933 and the Exchange Act of 1934, and chapters on several topics closely related to the defense of securities class action litigation, including settlement, indemnification and D&O insurance, SEC enforcement actions, and derivative litigation. Prepared by leading and highly experienced securities litigators, each chapter offers an in-depth examination of the law governing each stage of securities litigation and provides practitioners with detailed analyses of key issues as well as practical tips and strategic guidance to support practitioners throughout case planning, discovery, damages, trial, settlement, and indemnification. An easy-to-use reference tool, this guide will save securities litigators significant time and effort, particularly with respect to legal research. Fully updated every year, Securities Litigation discusses the impact of important legal developments to help securities litigation practitioners, in-house counsel, compliance officers, investors, federal and state regulators, and professors of all levels of experience stay up to date on the latest trends and key developments in securities litigation, including “event-driven” lawsuits brought by investors, “safe harbor” protection, loss causation and damages, corrective disclosures, materialization of risk, aggregate damages, corporate indemnification, D&O insurance, and carrier consent to settlement. Ever-changing regulations can quickly redefine securities litigation best practices. PLI’s Upkeep Service can help you plan around these developments.
2 looseleaf volumes, 2,952 pages, $766, Item #32842, ISBN 978-1-4024-1691-0, Updated annually or as needed
1 looseleaf volume, 1,022 pages, $535, Item #173022, ISBN 978-1-4024-2750-3, Updated annually or as needed
marketing, and inspector request response strategies. They can also access sample compliance calendars when structuring programs. Practitioners and professionals must be proactive around ever-changing regulations. PLI’s Upkeep Service will help you confront the dynamic developments impacting mutual and exchange-traded funds
companies, mezzanine funds, and credit opportunity funds. They will find pointers on organizational options, ownership, compensation, fund sponsor and investor negotiation terms, talent management, exemptions, liability pitfalls, and more. This guide includes useful forms addressing common agreements, registration statements, and organizational paperwork. Don’t be left behind as new private equity legal developments arise. PLI’s Upkeep Service can help you stay ahead of the curve.
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