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July 16, 2018

Michael Wise

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July 13, 2018

Hedge Funds & Private Equity

Hedge Funds & Private Equity Lawrence Kamin advises clients on investment management opportunities, including structuring hedge funds and private equity funds, and often consults on the regulatory issues related to private fund management. Lawrence Kamin’s partners have the experience necessary to help your private Equity firm or hedge fund choose the appropriate registration category and […]

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January 1, 2007

Thoughtful Analysis – Key to Successful Compliance a Primer for New Compliance Officers

Broker-dealer supervisory procedures and compliance systems have been significantly strengthened during the last five years, and now include enhanced training, documentation, testing and exception reporting. Notwithstanding these tools, the key to a successful compliance program is thoughtful analysis by supervisory personnel.

August 1, 2005

Critical Elements of an Effective Supervisory Structure

Rules adopted by the NASD and NYSE in the past year have heightened the supervisory requirements for securities firms. Among the more significant changes are a certification requirement by the Chief Executive Officer and mandatory compliance inspections.

May 1, 2005

Impact on Broker-Dealers From the New SEC Rule Narrowing the Exemption for Broker-Dealers From the Investment Advisers Act

The SEC substantially narrowed the exemption from the Investment Advisers Act of 1940 for broker-dealer activity by adopting a new Rule 202(a)(11)-1. Among the many changes is a requirement that any discretionary account will be considered and advisory account requiring a broker-dealer to register as an investment adviser.

November 1, 2003

Amendments to SEC Custody Rule 206(4)-2 Will Affect All Investment Advisers

The SEC has promulgated final amendments to its investment adviser custody Rule 206(4)-2. Advisers will have until April 4, 2004 to change their procedures, policies and client arrangements to meet the requirements of this rule and a number of key changes within it.

October 2, 2003

Personal Trading Policies and Procedures Including Insider Trading Rules

The Securities and Exchange Commission (“SEC”) has placed a significant amount of enforcement and examination emphasis on personal trading and insider trading policies and procedures of investment advisers. Investment advisers are required to have written supervisory procedures to prevent insider trading and to prevent vicarious liability for personal trading. The absence of…

August 1, 2002

A Pool Too Big for a FCM or a Broker-Dealer

Broad definitions of “commodity pool operator” and “commodity trading adviser”, together with the very broad interpretations of these terms by the CFTC staff, has led to the “inadvertent pool” problem for many registered broker-dealers and futures commission merchants (“FCM”) engaged in proprietary trading activities. These problems have increased significantly over the last…

June 2, 2002

Investment Adviser Conflicts

In the normal course of business, investment advisers face an increasing number of potential conflicts of interest between the investment adviser and the client. These conflicts arise in several areas and in connection with other activities, such as investment banking, if an investment adviser is part of or affiliated with a broker-dealer.

June 2, 2002

Anti-Money Laundering Provisions for Broker-Dealers

The Patriot Act of 2001 together with new and proposed regulations has significantly increased the anti-money laundering duties of broker-dealers. This article reviews new and proposed regulations and outlines supervisory procedures and programs that broker-dealers will need to comply with the rules.

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