Thomson Reuters Session 2: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?

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 preview of the monthly topics to be covered on a national stage by speaking on a similar webinar series for West LegalEdcenter, part of Thomson Reuters.

This podcast is a recording of Mr. Nowak’s webinar who was also joined by fellow partner Kevin M. Johnson from the firm’s Tax practice. The webinar covered current legal developments affecting the markets and funds and their managers, including whistleblower rules; the IRS’s global high net worth initiative targeting wealthy high net worth taxpayers, including fund managers; and FATCA.

PDF file of the PowerPoint slides from the Webinar.

(Running Time: 1:01:49)
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Thomson Reuters Session 1: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?

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 preview of the monthly topics to be covered to a national audience by speaking on a similar webinar series for West LegalEdcenter, part of Thomson Reuters.

This podcast is a recording of Mr. Nowak's webinar where he discussed SEC compliance initiatives; a Dodd Frank update on bad actors; an update on the JOBs Act and Volcker Rule; and a discussion on ISDA protocols.

PDF file of the PowerPoint slides from the Webinar.

(Running Time: 1:01:17)
MP3 File

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Update on Section 363 of the Bankruptcy Code and Delaware Bankruptcy Court’s Decision in the Fisker Automotive Holdings Inc. Bankruptcy Case

Section 363 of the Bankruptcy code has been a topic of discussion in legal circles lately. We are joined by Henry Jaffe, a partner in Pepper’s Corporate Restructuring and Bankruptcy Practice Group, to discuss Section 363 and review the concerns of bankruptcy practitioners and participants because of the United States Bankruptcy Court for the District of Delaware’s decision in the Fisker Automotive Holdings, Inc. case, including some lessons learned from Fisker.

(Running Time: 10:29)
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New Manager Forum Panel III – Post-launch Matters

Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing environment.

With that in mind, Pepper Hamilton teamed up with Constellation Investment Consulting to put together a New Manager Forum in Pepper’s NY office earlier this year. Speakers included perspectives from all facets of the investment industry, including lawyers, consultants, prime brokers, accountants, startup administrators, fund admin services and a hedge fund placement agent.

We recorded the forum and broke it up into three separate podcasts.

This podcast focuses on post-launch matters such as continued marketing and fundraising; increasing complexity in operations; SEC registration, conflicts of interest, allocation issues, and other legal and regulatory issues; the need to expand service providers or functions; and other challenges on the horizon as the new managers grows, including investor due diligence demands.

You can also listen to the podcast recordings of Panel I which focuses on critical pre-launch considerations and Panel II which focuses on launch issues.

Email [email protected] to be added to our mailing list to receive future legal updates in the world of Funds.

(Running Time: 52:00)
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New Manager Forum Panel II – Launch Issues

Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing environment.

With that in mind, Pepper Hamilton teamed up with Constellation Investment Consulting to put together a New Manager Forum in Pepper’s NY office earlier this year. Speakers included perspectives from all facets of the investment industry, including lawyers, consultants, prime brokers, accountants, startup administrators, fund admin services and a hedge fund placement agent.

We recorded the forum and broke it up into three separate podcasts.

This podcast focuses on launch issues, including the raising of capital, such as seeding, cap intro firms and placement agents; advertising opportunities under the JOBS Act; and more.

You can also listen to the podcast recordings of Panel I which focuses on critical pre-launch considerations and Panel III which focuses on post-launch matters.

Email [email protected] to be added to our mailing list to receive future legal updates in the world of Funds.

(Running Time: 51:03)
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New Manager Forum Panel I - Critical Pre-launch Considerations

Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing environment.

With that in mind, Pepper Hamilton teamed up with Constellation Investment Consulting to put together a New Manager Forum in Pepper’s NY office earlier this year. Speakers included perspectives from all facets of the investment industry, including lawyers, consultants, prime brokers, accountants, startup administrators, fund admin services and a hedge fund placement agent.

We recorded the forum and broke it up into three separate podcasts.

This podcast focuses on critical pre-launch considerations, including fund structuring and adviser matters; compliance policies and other legal and regulatory considerations; and the selection of an auditor, administrator, operations consultant, prime broker, and other service providers.

You can also listen to the podcast recordings of Panel II which focuses on launch issues and Panel III which focuses on post-launch matters. Email [email protected] to be added to our mailing list to receive future legal updates in the world of Funds.

(Running Time: 53:47)

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The Pepper 5: On 2014 Venture Capital Funding Outlook

This is a podcast series where we ask Pepper attorneys five key questions on topics that are top of mind for our clients. Today we are focusing on venture funding and our guest is Pepper partner Steven R. London from our Boston office.

Mr. London led Pepper’s charge at the 2013 New England Venture Summit, moderating a couple of panels and meeting with many venture capitalists and companies looking for funding from around the country. In this podcast we discuss the outlook for venture funding in 2014 based on his experience in the marketplace and specifically what he heard at the Summit. We also cover his number one tip for companies looking for dollars; the best way to approach a VC for funding; fatal flaws for an elevator pitch; and discuss Pepper’s Emerging Company Program.

(Running Time: 10:41)
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Representation and Warranty Insurance in M&A Transactions

Recently Bruce K. Fenton, Pepper partner and chair of the firm’s Private Equity Practice Group and Investment Funds Industry Group, hosted Jay J. Rittberg, senior vice president and Americas M&A manager, and Ashley Behan, mergers & acquisitions insurance, of AIG to discuss the use and benefits of representation and warranty insurance in both buy-side and sell-side M&A transactions.

This podcast is a recording of this seminar. Mr. Rittberg and Ms. Behan discuss how this insurance is used in transactions to either supplement or replace the indemnification obligations contained in the acquisition agreement, including why representation and warranty insurance is relevant right now (6:07); the process of coming to the market (39:09); auction scenarios (45:24); and pricing (56:29).

(Running time: 1:07:42)

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The Pepper Five: On U.S. – India Issues

This is a podcast series where we ask Pepper attorneys five key questions on topics that are top of mind for our clients. In this session, we sit down with Valérie Demont, chair of Pepper’s U.S.-India practice. Ms. Demont and James D. Rosener, chair of Pepper’s International Practice, are preparing for a trip to India in February 2014 that will take them to New Delhi, Bangalore and Mumbai.

We discuss what she hopes to accomplish on this trip, including an event series with the Indo-American Chamber of Commerce which will focus on key issues for Indian companies looking to conduct business in the U.S. We also discuss what are some of the key Indian legal and regulatory trends to be mindful of in 2014 and whether India is still a top global destination for foreign investment.

(Running Time: 8:05)

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Claims: Government Investigations, Enforcement and Triggering Insurance Coverage Under D and O Insurance

Recently, Pepper attorneys Frank A. Mayer, III and Charles E. Leasure, III gave a presentation on when an examination of a regulated institution triggers a claim and benefits under an insurance policy. They discussed the latest issues and how an examination morphs into triggering a claim. This podcast is a portion of their presentation.

Click here to download a PDF of their presentation slides, including an appendix that covers the OCC Relevant Delegations of Authority.

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