Hot Topics Roundtable for Fund Managers - Cybersecurity, Valuation, and More

Representatives from Pepper Hamilton, Duff & Phelps and Freeh Group International Solutions (FGIS) led a fast-paced, interactive discussion of some of the hottest topics in the fund managing world. This podcast is a recording of this session from Philadelphia.

Topics discussed included (time codes) valuation questions (4:45) including trends in secondary market regarding valuations (28:00); cybersecurity (35:10) including how do you judge the risk of your third party vendors (52:17), what to do if you have a data breach (1:06:57); and fundraising and expense allocations (1:12:22).

Email podcasts@pepperlaw.com to be added to our mailing list to receive future legal updates in the world of Funds.

(Running Time: 1:27:11)

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Thomson Reuters Session - April: Investment Management, Hedge Funds & 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 Pepper corporate and securities attorney Brian Korn. Topics discussed include (time codes) recent SEC enforcement activity (2:30); the matter of Laird Daniels, CPA (10:18) and the matter of Visionary Trading LLC (20:54); recent developments in crowdfunding (28:11); and lastly a peer-to-peer lending discussion (46:05).

Click here for more information about Pepper's Crowdfunding and Peer-to-Peer Lending practice.

PDF file of the PowerPoint slides from this webinar.

(Running Time: 59:58)

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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)
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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 podcasts@pepperlaw.com 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 podcasts@pepperlaw.com 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 podcasts@pepperlaw.com 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 Privacy Concerns of New Private Offering Rules

In September 2013, SEC rulemaking changes went into effect that lift the longstanding ban on solicitation and advertising by hedge funds, startups, and venture capitalists raising money for private offerings. The new rules, however, raise practical issues.

Compliance Week spoke to Edward T. Dartley and Gregory J. Nowak, Pepper Hamilton attorneys with the firm's Investment Funds Industry Group, about the nuts and bolts issues issuers must consider, among them new data privacy concerns and document retention and destruction policies.

Click here to listen to the podcast (Running time: 11:00).

Visit the Pepper Hamilton JOBS Act Resource Center for more information about the Jumpstart Our Business Startups Act regulations, which became effective on September 23 .

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Cut Unjustified Loopholes Act

Michigan Democratic Senator Carl Levin has introduced his proposed Cut Unjustified Tax Loopholes Act to target off-shore tax abuses.

In this podcast, Pepper tax partner Steve Bortnick, discusses how the act, designed to close a so-called loophole that allows foreign corporations to avoid paying U.S. taxes, might actually reduce U.S. tax revenues. Steve also discusses how this act would affect hedge and private equity funds.

If you are interested in the latest updates in the worlds of tax and private equity, you can request to receive an electronic copy of our monthly Tax Update newsletter or timely Funds Services client alerts by emailing podcasts@pepperlaw.com.

(Running Time: 12:08)

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