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 exhaustive dive 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 , 1,944 pages , $ 702 , Item # 42542 , ISBN 978-1-4024-1900-3 , Updated annually or as needed
CONTENTS
VOLUME 1 PART I : INTRODUCTION TO HEDGE FUNDS 1 From Innovation to Industry 2 Form Over Substance :
Hedge Fund Structures 3 Rationale for Regulation
PART II : RAISING CAPITAL 4 Private Placement 5 Commodity Pools 6 Marketing the Manager 7 Marketers 8 Anti-Money Laundering
Regulations 9 Privacy Regulations
PART III : FUND REGULATION 10 Regulation of Private
Investment Companies 11 Regulation of Registered
Investment Companies
PART IV : THE HEDGE FUND MANAGER
12 Investment Adviser
Registration 13 Compliance 14 Books and Records 15 Custody 16 Performance Fees 17 State Advisory Regulation 18 Commodity Pool Operators and Commodity Trading Advisers
PART V : INVESTOR CONSIDERATIONS 19 Pensions 20 Banks 21 Insurance Companies 22 Registered Investment
Companies
VOLUME 2 PART VI : MARKET PARTICIPATION AND PORTFOLIO MANAGEMENT 23 Broker-Dealer Status and
Relationships 24 Disclosures of Market
Participation 25 Systemic Risk Regulation 26 Derivatives Markets
Participants 27 Trading 28 Portfolio Management
PART VII : HEDGE FUND-RELATED PRODUCTS 29 Structured Products 30 Hedge Fund Seeding 31 ESG Investing
Appendices [ selected statutory provisions , rules , and regulations ]
Index
INSIDER TRADING LAW AND COMPLIANCE ANSWER BOOK
Schulte Roth & Zabel LLP Edited by Harry S . Davis
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 # 318457 , ISBN 978-1-4024-3614-7 , Published as needed
CONTENTS
Table of Abbreviations 1 Overview of the Law of
Insider Trading 2 Statutory Background 3 Elements of an Insider
Trading Claim 4 What Is a Security ? 5 Scienter and Trading “ On the
Basis Of ” 6 Materiality 7 Nonpublic Information 8 Breach of Duty :
Classical Theory 9 Breach of Duty :
Misappropriation Theory 10 Tipper and Tippee Liability 11 Regulation Fair Disclosure 12 Obtaining Information from
Corporate Insiders
13 Application of the Insider Trading Laws to Government Employees
14 Information Sharing with Market Professionals
15 Use of Consultants 16 Tender Offers 17 Private Investments in Public
Equity ( PIPEs )
18 Out-of-Court Restructurings , the Bankruptcy Context , and Creditors ’ Committees 19 Big Boy Letters 20 Civil and Criminal Enforcement
21 Penalties , Short-Swing Profits , and Whistleblower Awards
22 Protecting Firms Through Policies and Procedures , Training , and Testing 23 Insider Trading Law and Commodity Interests 24 Insider Trading Law in the
United Kingdom
Index
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