Advising Hedge Funds on Trading Strategies: Avoiding SEC Reporting Violations and Other Legal Pitfalls
Passive vs. Active Investor Status, Insider Trading Scenarios, 13(d) and 16 Filing Requirements
A live 90-minute CLE webinar with interactive Q&A
This CLE webinar will analyze various trading issues fund counsel should consider when advising hedge funds and their managers. The panel discussion will include the ramifications of becoming an "activist" investor, insider trading scenarios which can arise for hedge funds, and filing requirements associated with certain ownership thresholds (and how to avoid them).
- Hedge funds and securities regulation--a general framework
- When passive investors drift into activist status
- Insider trading concerns: focus on subtle and complex issues
- Special issues under Sections 13(d) and 16 of the Exchange Act
The panel will review these and other essential questions:
- When is a hedge fund deemed to be an "activist" investor subject to more rigorous filing and reporting requirements?
- What is the mosaic theory of insider trading, and what steps can a fund take to avoid being found to be trading on non-public information?
- How might an investment fund or group of funds structure around the 5% or 10% thresholds that trigger filing and reporting obligations under Section 13(d) and Section 16?
Christopher M. Wells
Mr. Wells advises fund managers and investors on all aspects of the hedge fund business, including fund structuring and... | Read More
Mr. Wells advises fund managers and investors on all aspects of the hedge fund business, including fund structuring and formation, seed investments, asset manager M&A transactions, agreements among principals, employment and compensation issues, and regulatory and enforcement matters.Close
Mr. Zarb is a partner in the Corporate Department, where he concentrates his practice on regulatory matters under the... | Read More
Mr. Zarb is a partner in the Corporate Department, where he concentrates his practice on regulatory matters under the U.S. federal securities laws, as well as on equity finance transactions regulated under those laws. He also counsels public and private companies, broker-dealers, hedge funds, as well as other investors, on a wide range of transactional and securities regulatory compliance matters including:Close
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