Hedge Funds and Other Private Funds: Regulation and Compliance, 2010-2011 edition (Securities Law Handbook Series)

Securities

Hedge Funds and Other Private Funds Regulation and Compliance, 2013-2014 edition

Edited by Thomas P. Lemke · Gerald T. Lins · Kathryn L. Hoenig · Patricia S. Rube
Thomson West January 2013

Specifications

ISBN-13
40252379
Publisher
Thomson West
Publication
January 2013
Format
Paperback , 944 pages
Jurisdiction
U.S. ? Countri(es) for reference only

Details

Hedge Funds and Other Private Funds: Regulation and Compliance provides detailed analysis, practical guidance, and primary source materials relating to legal, regulatory, and compliance issues for the formation and operation of hedge, offshore, and other private funds. It is organized in chronological order to follow the life cycle of a mutual fund, and covers registration, choice of vehicle, choice of fund structure and type, tax, insurance, regulatory and administrative issues, trustee selection, and the SEC's EDGAR database. Other topics covered include:

 

  • Key players and key documents
  • Legal requirements
  • Recent regulatory enforcement actions
  • The offering process for hedge funds and other private funds, including secondary trading activities
  • Fund portfolio trading and applicable requirements
  • Structural transactions involving hedge funds, including mergers and acquisitions, lift-outs, seeding managers, public offerings, and dissolutions

About the Author

Thomas P. Lemke
 
Thomas P. Lemke is Senior Vice President and General Counsel of Legg Mason, Inc., a global asset management firm headquartered in Baltimore, Maryland. Mr. Lemke has extensive experience in the law of financial services, particularly the regulation of investment companies, investment advisers, and broker-dealers in the U.S. and overseas. Mr. Lemke has co-authored a number of asset management books including Hedge Funds and Other Private Funds: Regulation and Compliance, Money Manager's ERISA Sourcebook, and Regulation of Investment Advisers.
 
Gerald T. Lins
 
Lins is general counsel of ING Investment Management Americas in New York. Previously, he was responsible for overseeing legal matters at asset management institutions and other fund complexes. He also spent several years in private practice, concentrating on general corporate law matters and the regulation of investment companies and other financial service providers. Prior to that, he was a staff attorney in the Office of Chief Counsel in the Securities and Exchange Commission's Division of Investment Management, where he had a broad range of experience with the regulation of investment companies and investment advisers under the federal securities laws. He received his juris doctor in 1984 from Harvard Law School.
 
Kathryn L. Hoenig
 

Hoenig has served as general counsel and in other senior positions, specializing in securities and regulatory matters affecting broker-dealers and investment advisers in the United States, the United Kingdom and Hong Kong. Most recently, she was Executive Vice President of ITG Inc., in charge of marketing and corporate matters. Ms. Hoenig also served as General Counsel of Hoenig & Co., Inc. and its parent company, Hoenig Group Inc.

Hoenig has worked with several Securities Industry Association (SIA) committees, including the SIA’s Investment Adviser Committee, the Prime Brokerage Committee and the SIA soft dollar panel which prepared the Best Practices for Soft Dollar and Other Commission Arrangements.

Patricia S. Rube
 

Rube is Senior Vice President and Associate General Counsel at Jefferies — Company, Inc., where she provides counsel to Jefferies and its affiliates. Jefferies (NYSE: JEF) offers investment banking, sales and trading, research and asset management services, with a focus on serving middle market investors and issuers. Prior to joining Jefferies, she served as General Counsel to Hoenig & Co., Inc., a broker-dealer providing research and trade execution services to institutional customers.

She holds a JD degree from Harvard University, where she also received her undergraduate degree.

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