Investment Management Update - Focus on Data Privacy and Cybersecurity

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 session.

Topics covered include why is data privacy and security important (4:51); discussion of the SEC’s Office of Compliance Inspections and Examinations and FINRA scrutiny (9:40); encryption and personally identifiable information overview (14:07); how to protect trade data (19:10); the top threats to data privacy (21:38); what to do before a breach occurs (29:00); why cyber insurance is needed to cover for a cyber attack (32:29); and addressing a breach (45:19).

Download a copy of the PowerPoint Slides.

(Running Time: 59:14)

MP3 File

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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)

MP3 File

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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)
MP3 File

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

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

Continue reading "Thomson Reuters Session 1: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now? " »

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