SECURITIES AND OTHER FINANCIAL PRODUCTS
“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 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. 2 looseleaf volumes, 1,988 pages, $737, Item #42542, ISBN 978-1-4024-1900-3, Updated annually or as needed
INVESTMENT ADVISER REGULATION A STEP-BY-STEP GUIDE TO COMPLIANCE AND THE LAW
Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
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.
INSIDER TRADING LAW AND COMPLIANCE ANSWER BOOK
Schulte Roth & Zabel LLP Edited by Harry S. Davis
3 looseleaf volumes, 4,716 pages, $737, Item #32841, ISBN 978-1-4024-1690-3, Updated annually or as needed
With over 24 chapters in question-and-answer format, this book explores the basics and nuances of insider trading law. The editor, a prolific author and speaker with decades of experience representing insider trading clients before agencies and state attorneys general, compiled instructive insights from several leading attorneys for anyone who invests in the securities markets. Practitioners and investors will learn about the elements of an insider trading claim, along with the types of legitimate company research, nonpublic information, and “tips” that could lead to liability if acted upon. They will also find invaluable content covering civil and criminal repercussions, along with defense and compliance steps, applicable to corporate insiders, market professionals, paid consultants, government employees, and bankruptcy parties. Stay abreast of ever-changing U.S. and international insider trading law developments with PLI’s Upkeep Service. 1 softbound volume or digital, 924 pages, $260, Item #293768, ISBN 978-1-4024-3614-7, Published as needed
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