In this podcast, Greg Nowak, a partner in Troutman Pepper’s Investment Management and Compliance and Hedge Funds Practice Groups, is joined by Evan Katz, Managing Director of Crawford Ventures, Inc., for a candid review of...more
9/30/2020
/ Accredited Investors ,
Broker-Dealer ,
Capital Raising ,
CFTC ,
Compliance ,
Coronavirus/COVID-19 ,
Cross Trading ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Expenses ,
Initial Coin Offering (ICOs) ,
Investment Management ,
Investors ,
Merchant Cash Advance (MCA) ,
Rule 506(c) ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Token Sales
The Federal Reserve is restarting its Term Asset-Backed Security Loan Facility (TALF) program, which was very successful during the 2008 financial crisis. This program is designed to strengthen the market for asset-backed...more
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
2/25/2020
/ Acquisitions ,
Asset Management ,
Copyright ,
Data Privacy ,
Intellectual Property Protection ,
Investment Firms ,
Investment Management ,
Investors ,
Mergers ,
Private Funds ,
Trade Secrets ,
Trademarks
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/9/2020
/ Accredited Investors ,
Annuities ,
Death Benefits ,
Estate Planning ,
Financial Services Industry ,
Hedge Funds ,
Insurance Industry ,
Investment Funds ,
Investment Management ,
Investors ,
Life Insurance ,
Private Funds ,
Qualified Purchaser ,
Retirement ,
Tax Exemptions ,
Tax Planning
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.
This month, Mr. Nowak, is joined by Richard Juliano,...more
1/22/2019
/ Acquisitions ,
Appraisers ,
Asset Management ,
Buyouts ,
Carried Interest ,
Deferred Compensation ,
Employee Stock Purchase Plans ,
ESOP ,
Executive Compensation ,
Exit Strategies ,
Financial Planning ,
Hedge Funds ,
Interest Rates ,
Investment Management ,
Investors ,
Limited Liability Company (LLC) ,
Mergers ,
Profit Sharing ,
Reorganizations ,
S-Corporation ,
Stock Purchase Agreement ,
Strategic Planning ,
Suspicious Activity Reports (SARs) ,
Tax Cuts and Jobs Act ,
Tax Planning ,
Trustees ,
Valuation ,
Wage and Hour
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.
This month, Mr. Nowak, is joined by Richard Juliano,...more
1/22/2019
/ Acquisitions ,
Appraisers ,
Asset Management ,
Buyouts ,
Carried Interest ,
Deferred Compensation ,
Employee Stock Purchase Plans ,
ESOP ,
Executive Compensation ,
Exit Strategies ,
Financial Planning ,
Hedge Funds ,
Interest Rates ,
Investment Management ,
Investors ,
Limited Liability Company (LLC) ,
Mergers ,
Profit Sharing ,
Reorganizations ,
S-Corporation ,
Stock Purchase Agreement ,
Strategic Planning ,
Suspicious Activity Reports (SARs) ,
Tax Cuts and Jobs Act ,
Tax Planning ,
Trustees ,
Valuation ,
Wage and Hour
On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more
11/4/2015
/ Blue Sky Laws ,
Broker-Dealer ,
Capital Raising ,
Compliance ,
Crowdfunding ,
Disclosure Requirements ,
EDGAR ,
Federal Register ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Initial Public Offering (IPO) ,
Investment ,
Investors ,
JOBS Act ,
Regulation D ,
Reporting Requirements ,
Rule 506 Offerings ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) published a notice of proposed rulemaking (the Proposed Rule) on September 1, 2015 that would impose anti-money laundering (AML) requirements for investment...more
10/2/2015
/ Anti-Money Laundering ,
BSA/AML ,
Closed-End Funds ,
Compliance ,
Dodd-Frank ,
Financial Institutions ,
FinCEN ,
Investment ,
Investment Adviser ,
Investors ,
Money Laundering ,
Mutual Funds ,
Patriot Act ,
Pooled Investment Vehicles ,
Registered Investment Advisors ,
SAR ,
SBIC ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury