This afternoon, I am speaking at the PERE Real Estate CFOs Forum in New York on the Shifting Regulatory Landscape in the US and Abroad. Moderator: Gilbert D. Porter, Partner, Haynes & Boone LLP Panel Members: Andrea Carpenter, Director, INREV (European Association for Investors in Non-listed Real Estate Vehicles) Doug Cornelius, Chief Compliance Officer, Beacon [...]
Archive | October, 2009
Capital Markets Regulatory Reform: Enhancing Oversight of Private Pools of Capital
Today, the House Committee on Financial Services heard testimony on Enhancing Oversight of Private Pools of Capital. This seems to be is response to the draft Private Fund Investment Advisers Registration Act. Congressman Paul E. Kanjorski (D-PA), Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, released a discussion [...]
Update on the European Directive to Regulate Alternative Investment Fund Managers
The draft Directive on Alternative Investment Fund Managers was published on April 30, 2009. The Proposed Directive has been subject to lots of criticism. Many of the provisions in the Proposed Directive misunderstood the characteristics of different types of alternative investment funds. It now seems the Proposed Directive will be implemented in one form or [...]
Updated FTC Guidelines Affect Testimonial Advertisements, Bloggers, Celebrity Endorsements
On October 5, the FTC released their updated guidelines to advertisers on how to keep their endorsement and testimonial ads in line with the Federal Trade Commission Act. The guidelines were last updated in 1980. Clearly technology and publishing has changed significantly in the past 30 years. The revised Guides also add new examples to [...]
National Breast Cancer Awareness Month
October is National Breast Cancer Awareness Month. Compliance Building, like many others, has gone pink to promote and support the world’s fight against breast cancer. After watching the NFL players sporting pink accents on Sunday, I figured I could do the same thing. So I updated the website and changed many of the colors to [...]
More on the Private Fund Investment Advisers Registration Act of 2009
There are three and half bills in Congress for regulating private investment funds. The Hedge Fund Adviser Registration Act of 2009, the Hedge Fund Transparency Act of 2009 and the Private Fund Transparency Act of 2009 are all sitting in committee. The half is the proposal from the Obama administration: Private Fund Investment Advisers Registration [...]
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Bits and Pieces on Compliance
Here are a few stories and items that caught my eye recently, but I have not had time to build-out to a full post: Role of Federal Sentencing Guidelines in FCPA Cases from the WrageBlog Given the tremendous fines imposed upon Siemens AG and Kellogg Brown & Root LLC (“KBR”) in the past 10 months, [...]
Ruehle Decision on Internal Investigations Overturned
The Ninth Circuit stepped into a conflict between former Broadcom CFO William Ruehle and lawyers at Irell & Manella. The disagreement concerned a type of misunderstanding on whether lawyers during an internal company probe are representing a singular executive or the company itself. At issue was whether Irell clearly explained to Ruehle that it was [...]
National Cyber Security Awareness Month
October is National Cyber Security Awareness Month. Check out the top tips to keep you safe online: Know who you’re dealing with online. Keep your web browsers and operating system up to date. Back up important files. Protect your children online. Use security software tools as your first line of defense. Use strong passwords or [...]
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