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Article
Publication date: 13 June 2008

Steven M. Giordano, Richard A. Goldman, Robert G. Leonard and Michael F. Mavrides

The purpose of this paper is to remind sponsors and managers of hedge funds and private funds (including private equity and venture capital funds) of certain “best…

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Abstract

Purpose

The purpose of this paper is to remind sponsors and managers of hedge funds and private funds (including private equity and venture capital funds) of certain “best practices” that they should consider.

Design/methodology/approach

The paper offers considerations concerning: preparation and review of written compliance and procedures documents; updating Form ADV; other regulatory filings including blue sky filings, Form 13F, Schedule 13D/13G, Forms 3, 4, and 5, and other forms; audited financial statements; Schedule K‐1; offering document updates; fee deferral arrangements; CFTC requirements; liability insurance; employee training; and other annual requirements including privacy policies and new issues.

Findings

Amid recent rapid growth in hedge funds and private equity funds and volatility in the financial markets, it is more important than ever to ensure that regulatory filings and compliance policies and procedures are properly documented and followed.

Originality/value

This paper provides a brief, useful checklist from experienced securities lawyers, but a comprehensive guide or legal advice concerning any specific situation.

Details

Journal of Investment Compliance, vol. 9 no. 2
Type: Research Article
ISSN: 1528-5812

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Contingent Valuation: A Critical Assessment
Type: Book
ISBN: 978-1-84950-860-5

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Article
Publication date: 1 February 1974

Frances Neel Cheney

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Term. 37203. Mrs. Cheney does not sell the books listed here…

Abstract

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Term. 37203. Mrs. Cheney does not sell the books listed here. They are available through normal trade sources. Mrs. Cheney, being a member of the editorial board of Pierian Press, will not review Pierian Press reference books in this column. Descriptions of Pierian Press reference books will be included elsewhere in this publication.

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Reference Services Review, vol. 2 no. 2
Type: Research Article
ISSN: 0090-7324

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Book part
Publication date: 10 November 2010

Stephen L. Vargo, Robert F. Lusch, Melissa Archpru Akaka and Yi He

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Review of Marketing Research
Type: Book
ISBN: 978-0-85724-728-5

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Article
Publication date: 1 March 1974

Frances Neel Cheney

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Tenn. 37203. Mrs. Cheney does not sell the books listed here…

Abstract

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Tenn. 37203. Mrs. Cheney does not sell the books listed here. They are available through normal trade sources. Mrs. Cheney, being a member of the editorial board of Pierian Press, will not review Pierian Press reference books in this column. Descriptions of Pierian Press reference books will be included elsewhere in this publication.

Details

Reference Services Review, vol. 2 no. 3
Type: Research Article
ISSN: 0090-7324

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Book part
Publication date: 8 April 2015

Luca Fiorito

This note presents new archival evidence about John Maynard Keynes’ attitudes toward Jews. The relevant material is composed of two letters sent by Robert G. Wertheimer to…

Abstract

This note presents new archival evidence about John Maynard Keynes’ attitudes toward Jews. The relevant material is composed of two letters sent by Robert G. Wertheimer to Bertrand Russell and Richard F. Kahn along with their replies. Between 1963 and 1964, Wertheimer – an Austrian-born Jewish immigrant then professor of economics at Babson College – wrote to Russell and Kahn asking for their personal reminiscences concerning Keynes’ anti-Semitic utterances. In their brief but still significant responses, both Russell and Kahn firmly denied any hint of anti-Semitism in Keynes, thereby providing significant first-hand testimonies from two of his closest acquaintances.

Details

A Research Annual
Type: Book
ISBN: 978-1-78441-857-1

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Book part
Publication date: 1 February 2007

Ruth N. Bolton and Crina O. Tarasi

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Review of Marketing Research
Type: Book
ISBN: 978-0-7656-1306-6

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Contingent Valuation: A Critical Assessment
Type: Book
ISBN: 978-1-84950-860-5

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Article
Publication date: 1 March 1974

Tom Schultheiss, Lorraine Hartline, Jean Mandeberg, Pam Petrich and Sue Stern

The following classified, annotated list of titles is intended to provide reference librarians with a current checklist of new reference books, and is designed to…

Abstract

The following classified, annotated list of titles is intended to provide reference librarians with a current checklist of new reference books, and is designed to supplement the RSR review column, “Recent Reference Books,” by Frances Neel Cheney. “Reference Books in Print” includes all additional books received prior to the inclusion deadline established for this issue. Appearance in this column does not preclude a later review in RSR. Publishers are urged to send a copy of all new reference books directly to RSR as soon as published, for immediate listing in “Reference Books in Print.” Reference books with imprints older than two years will not be included (with the exception of current reprints or older books newly acquired for distribution by another publisher). The column shall also occasionally include library science or other library related publications of other than a reference character.

Details

Reference Services Review, vol. 2 no. 3
Type: Research Article
ISSN: 0090-7324

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The Creation and Analysis of Employer-Employee Matched Data
Type: Book
ISBN: 978-0-44450-256-8

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