SECURITIES AND OTHER FINANCIAL PRODUCTS
MUTUAL FUNDS AND EXCHANGE TRADED FUNDS REGULATION
PRIVATE EQUITY FUNDS FORMATION AND OPERATION
Stephanie R. Breslow and Phyllis Schwartz (Schulte Roth & Zabel LLP)
Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
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 Practising Law Institute 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, 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.
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 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. 1 looseleaf volume, 1,008 pages, $514, Item #173022, ISBN 978-1-4024-2750-3, Updated annually or as needed
2 looseleaf volumes, 2,948 pages, $737, Item #32842, ISBN 978-1-4024-1691-0, Updated annually or as needed
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