Excerpt from Question 1:
Your firm is visited by the SEC or state regulator for a routine regulatory examination and you enlist a law firm or consultant to help guide you through the process. Who pays the legal or...more
In This Presentation:
- WHY IS DATA PRIVACY AND SECURITY IMPORTANT?
..Why is it important to protect data?
..SEC Cybersecurity Risk Alert
..FINRA Scrutiny
- BEFORE THE BREACH
...more
Pepper partners Gregory J. Nowak and Angelo A. Stio III discussed data privacy and cybersecurity issues for investment funds during a recent webinar for West LegalEdcenter. This podcast is a recording of their...more
11/10/2014
/ Cyber Attacks ,
Cyber Insurance ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Data-Sharing ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
Personally Identifiable Information ,
Popular ,
Securities and Exchange Commission (SEC)
In This Presentation:
- Introduction
- Post 2008 Regulatory History
- Classifying Money Market Funds
- Floating Nav
- Liquidity Fees And Redemption Gates
- Liquidity Fees
-...more
Pepper partner Gregory J. Nowak has regularly hosted a roundtable in Pepper’s New York office for private funds and their managers to discuss issues in the investment management world. He has recently started to give a...more
Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more
On November 4, 2013, the U.S. House of Representatives Committee on Financial Services, by a 57-0 vote, ordered H.R. 2274 to be reported for further consideration. The bill, named the “Small Business Mergers, Acquisitions,...more
In This Presentation:
- Crowdfunding - SEC Rules are Out - now what?
..JOBS Act Overview
..Crowdfunding background
..Backdrop: Current Crowdfunding Landscape – Five* Varieties
..Public Equity...more
In 2011, so-called “pay-to-play” prohibitions under the Investment Advisers Act Rule 206(4)-5 (the Rule) went into effect. A recent U.S. Securities and Exchange Commission (SEC) exemptive order application addresses one...more
As much as the elimination of the ban on general solicitation of private placements through the passage of Rule 506(c) creates significant opportunities for private issuers, the U.S. Securities and Exchange Commission (SEC)...more
The Jumpstart Our Business Startups Act (JOBS Act) directed the U.S. Securities and Exchange Commission (SEC) to eliminate the prohibition against general solicitation or general advertising in any offering of securities...more
In this month’s challenge, Pepper Hamilton partners Christopher Rossi and Gregory Nowak explain when a firm may need to consider registering as a brokerdealer with the SEC.
Originally Published in PEI's Private Equity...more
The Jumpstart Our Business Startups Act (JOBS Act) regulations, which were announced on July 10 and which become effective on September 23, promise a new era for capital raising for operating companies and private funds...more
8/12/2013
/ Accredited Investors ,
Advertising ,
Bad Actors ,
Filing Requirements ,
General Solicitation ,
JOBS Act ,
New Regulations ,
Private Equity ,
Regulation D ,
Rule 144A ,
Rule 156 ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC)
On July 10 the Securities and Exchange Commission (SEC) adopted implementing regulations under the JOBS Act of 2012 (concerning the relaxation of the prohibitions against “general solicitations” under Regulation D under the...more
On July 18, 2013, the Securities and Exchange Commission (SEC) entered into a memorandum of understanding (MOU) with various member states of the European Union (EU) and European Economic Area (EEA) formalizing an agreement...more
New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more