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Entries tagged “Hedge Funds”

Maintaining Your Legal Entity Identifier (LEI) Just Got More Invasive

Insight Robin Powers Robin Powers · James Ballard James Ballard · July 17, 2017
Global Market Entity Identifier Utility (GMEI), an LEI issuer, is now requesting information relating to the parents of its registered entities.  The past information collected on an LEI entity, which consisted of self-identifying information, is known as “Level 1 Data.”  The additional information now being requested is

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Clarification Regarding the Interplay Between the DOL’s Plan Asset and Fiduciary Definition Regulations

Insight Thomas M. White Thomas M. White · June 21, 2017
If a plan investment in a vehicle is not covered by the plan asset regulation, is a person who recommends that investment a fiduciary to ERISA plans? Read more here > This clarification is a supplement of Mr. White's previous article: DOL’s New Fiduciary Definition and the Marketing of Hedge Funds The Department of

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Client Alert: DOL’s New Fiduciary Definition and the Marketing of Hedge Funds

Insight Thomas M. White Thomas M. White · June 09, 2017
The Department of Labor has adopted a modified definition of what investment advice makes a person an ERISA fiduciary.  The new definition is broader than the one it replaces and hedge fund managers need to be aware of the new running rules when they market their funds if fiduciary status is to be avoided. Learn more about this new rule's

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Private Funds Face Increasing Scrutiny on Expense Disclosure and Practices

Insight Benjamin L. Douglas Benjamin L. Douglas · March 16, 2015
Regulators, news media and investors continue to sharpen their focus on the types of expenses borne directly and indirectly by private funds.  While much of the attention has fallen on private equity funds, managers of hedge and venture funds should also cast a self-critical eye on the expenses they charge to their investment vehicles. 

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Is Your Swap Counterparty on This List to Register as Swap-dealers Under Dodd-Frank?

Insight Robin Powers Robin Powers · March 01, 2013

The following banks/dealers are the first to register as swap-dealers under the Dodd-Frank Act, which requires higher capital, collateral and trading standards.  The list, which is expected to grow, reflects companies that had at least $8 billion in swap-dealing business in October and had to register by the end of last year.

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