Skip to main content

Publications Publications Section




Winter 2014
  • Year End Update – Compliance
  • Year End Update – Tax
  • Anti-Corruption Investigations in the Private Fund World
  • FATCA Update
  • Update on SEC Examinations of Investment Advisers
  • State of the Market – Asia
  • SEC Staff Provides Guidance on "Bad Actor" Provisions
  • Initial TIC B Forms Filing Deadline for Investment Managers on January 15, 2014
  • SEC Issues Interpretive Guidance on the Venture Capital Fund Adviser Exemption
  • Recent CFTC Developments
Summer 2013
  • Taking Stock: Year One of the JOBS Act
  • AIFMD July 22 Deadline Nears for Non-European Funds and Fund Managers
  • Recent Experience with SEC Examinations
  • Changes to Form 13F
  • Recent Client Alerts
  • Events
Winter 2013
  • New Year’s Resolutions – Annual Considerations for Private Fund Managers
  • Form PF: What You Need to Know
  • American Taxpayer Relief Act of 2012
  • FATCA Update 
  • Due Diligence Guidance to Avoid Foreign Corrupt Practices Act Issues in Acquisitions and Investments
  • Corporate Governance Trends for 2013
  • Recent Client Alerts
  • Events
  • Publications
Fall 2012
  • I Want You To Want Me – Achieving a Successful First Closing
  • SEC Proposes Rule Amendments To Permit General Solicitation in Private Offerings
  • STOCK Act Presents New Compliance Concerns for Advisers
  • Many Funds-of-Funds Need To Take Urgent Action To Avoid CFTC Registration
  • CFTC Issues FAQ on CPO/CTA Compliance Obligations
  • NFA Provides Exemption from Examination Requirements for Swap Firms
  • Securities Class Actions – A Developing Risk for Sponsors of Private Investment Funds
  • Updates on Executive Compensation and Human Capital Issues
  • Tax Update – FATCA
  • New York City Suspends Audit Position That Could Have Resulted in Increased Unincorporated Business Tax
  • Accessing European Capital – AIFMD
  • UK FSA Consults on Changes to the Fund Marketing Regime
  • FINRA Adopts Rule To Require Filings for Certain Private Placements
  • Appeals Court Makes It Harder To Protect Company Secrets under Federal Anti-Hacking Law
  • Use It Or Lose It – Increased Gift and GST Exemption Amounts Expire on 12/31/12