Doc of the Day: Year-End Developments and Compliance Checklist

From Lowenstein Sandler’s Investment Management Group, a comprehensive (and practical) “summary of recent legislative and regulatory developments that impact the investment management community.” The advisory includes “checklists of year-end considerations for private investment funds, investment advisers, commodity trading advisors and commodity pool operators” covering a broad range of issues: Form PF and related rulesAmended SEC registration and reporting requirementsNew accredited investor rules finalizedNew qualified client thresholdsLarge trader reporting requirementsNew carried interest tax proposalBanking entity compliance with the Volcker RuleNew FINRA rules affecting broker-dealers and prohibiting “spinning”Form SHCRead the full update, Year-End Developments and Compliance Checklist, by Lowenstein Sandler PC»