K&L Gates Investment Management Seminar Addresses Compliance Obligations for Registered CPOs and CTAs, OTC Derivatives Trading, SEC Examinations of Private Fund Managers and the JOBS Act (Part Two of Two)

This is the second of two articles covering the 2013 version of the annual K&L Gates investment management seminar.  This article covers two sessions, one discussing the SEC’s approach to examinations and enforcement actions involving fund managers, and another tackling implications of the JOBS Act for fund managers.  The first article relayed key points from a session on regulatory developments impacting registered commodity pool operators and commodity trading advisors, as well as U.S. and European regulations governing swaps and other over-the-counter derivatives.  See “K&L Gates Investment Management Seminar Addresses Compliance Obligations for Registered CPOs and CTAs, OTC Derivatives Trading, SEC Examinations of Private Fund Managers and the JOBS Act (Part One of Two),” Hedge Fund Law Report, Vol. 7, No. 4 (Jan. 30, 2014).

To read the full article

Continue reading your article with a HFLR subscription.