Hedge Funds and Other Private Funds: Regulation and Compliance, 2008-2009 ed. (Securities Handbook Series)

New Edition

Thomas P. Lemke, Gerald T. Lins, Kathryn L. Hoenig, Patricia S. Rube

Book - softbound
Copyright: 2008

Last Updated: 11/14/2008

Availability: In Stock

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Description

This title provides you with detailed analysis, practical guidance, and primary source materials relating to legal, regulatory and compliance issues for operations of hedge, offshore, and other private funds. Includes an overview of key players and documents, explanations of legal requirements, and recent regulatory enforcement actions.

Features

Explanation of fund portfolio trading and applicable requirements
The offering process for hedge funds and other private funds, including secondary trading activities
Most relevant primary source materials, including statutory sections, rules interpretive letters, and many others

Summary Of Contents

Chapter
1. Introduction to Hedge Funds
2. Structure of Hedge Funds and Private Funds
3. Registration and Regulation of Fund Managers: The Investment Advisers Act of 1940
4. Exclusions and Exemptions Under the Securities Laws and ERISA
5. Offering and Redeeming Fund Securities
6. Trading
7. Reporting Obligations and Related Requirements
8. Basic Tax Issues
9. Offshore Funds
10. Funds of Hedge Funds
11. Managed Futures Funds
12. Private Equity and Similar Funds
13. Real Estate Funds
14. Collateralized Debt Obligations and Similar Structures
Appendix
- A1. Selected Provisions of the Securities Act of 1933
- A2. Selected Rules under the Securities Act of 1933
- A3. Regulation D
- B1. Selected Provisions of the Securities Exchange Act of 1934
- B2. Selected Rules under the Securities Exchange Act of 1934
- B3. Schedule 13D
- B4. Schedule 13G
- B5. Form 13F
- B6. Form 3
- B7. Form 4
- B8. Form 5
- C1. Selected Provisions of the Investment Company Act of 1940
- C2. Selected Rules under the Investment Company Act of 1940
- D1. Investment Advisers Act of 1940
- D2. Rules Under the Investment Advisers Act
- D3. Form ADV
- E1. Selected Rules Under the Commodity Exchange Act
- F1. Selected Provisions of the Employee Retirement Income Security Act
- F2. DOL Reg. § 2510.3-21–Definition of Fiduciary
- F3. DOL Reg. § 2510.3-101–Definition of "plan assets"
- G1. DOL Advisory Op. 89-05A on "Plan Assets"
- G2. Touche, Remnant & Co., SEC No-Action Letter (pub. avail. Aug. 27, 1984)
- G3. Goodwin, Procter & Hoar, SEC No-Action Letter (pub. avail. Feb. 28, 1997)
- G4. Clover Capital Management, Inc., SEC No-Action Letter (pub. avail. Oct. 28, 1986)
- G5. Investment Company Institute, SEC No-Action Letter (pub. avail. Sept. 23, 1988)
- G6. Franklin Management, Inc., SEC No-Action Letter (pub. avail. Dec. 10, 1998)
- G7. Investment Counsel Association of America, Inc., SEC No-Action Letter (pub. avail. Mar. 1, 2004)
- G8. SCF Partners, L.P., SEC No-Action Letter (pub. avail. Dec. 16, 1991)
- Appendix G9. American Bar Ass'n Section of Business Law, SEC No-Action Letter (pub. avail. Apr. 22, 1999)
- H1. Securities Exchange Act Release No. 23170
- H2. Securities Exchange Act Release No. 45194 ("Riskless principal" release)
- H3. In re Askin Capital and David J. Askin, Investment Advisers Act Release No. 1492 (May 23, 1995)
- H4. In re Dawson-Samberg Capital Mgmt., Inc., et al., Investment Advisers Act Release No. 1889 (Aug. 3, 2000)
- I1. Selected NASD Conduct Rules
- I2. NASD Interpretive Letter to Michael D. Udoff, Securities Industry Association, from Gary L. Goldscholle, NASD (Oct. 2, 2003)
- I3. NASD Interpretive Letter to Yukako Kawata from Thomas M. Selman, NASD (Dec. 30, 2003)
- I4. SIA Form of Initial Public Offering Certificate
- I5. Investment Advisers That Remain Registered
Table of Laws and Rules
Table of Cases
Index

Filing and Shelving Instructions

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	Product Details
	Series: Securities Handbook Series Brand: Clark Boardman Callaghan Components: 1 Print Shelf Space: 2 in. Update Frequency: Replacement Pamphlets-Annually


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