Firm News | November 1, 2021
On March 29, 2023, the National Futures Association (“NFA”) announced the adoption of Compliance Rule 2-51: Requirements for Members and Associates Engaged in Activities Involving Digital Asset Commodities (the “New Rule”),1 which will implement anti-fraud, trading, and supervisory requirements for member firms, including firms registered with the Commodity Futures Trading Commission as commodity pool operators…
Client Alerts | April 3, 2023 | Digital Assets and Cryptocurrency | Hedge Funds | Private Equity Funds
January 3, 2023, NEW YORK – Premier boutique law firm Kleinberg Kaplan announces the promotion of two associates, Moshe Segal and Derek Stueben, to the firm partnership, effective January 1, 2023. Moshe is a member of Kleinberg Kaplan’s Private Funds & Investment Management group and Derek is a member of the firm’s Corporate Transactional &…
Firm News | January 3, 2023 | Investment Management | Executive Compensation | Hedge Funds | Private Equity Funds | Digital Assets and Cryptocurrency | Emerging Companies & Venture Capital | Mergers & Acquisitions | Securities and Corporate Finance
Kleinberg Kaplan Partners Christian Gloger and Richard Guidice, Jr. were featured in a Think Advisor article, “How Advisors Can Get Ready for New SEC Marketing Rule,” discussing important considerations ahead of the November 4 compliance date for the new SEC Marketing Rule. The article highlighted key takeaways from Christian’s and Rich’s earlier webinar on the…
Firm News | October 20, 2022 | Hedge Funds | Private Equity Funds
The Securities and Exchange Commission (“SEC”) adopted sweeping amendments to the rules that govern advertising by investment advisers and payments to solicitors under the Investment Advisers Act of 1940, as amended (“Advisers Act”). These amendments combined the prior rules governing advertising and paid solicitation into a single revised Rule 206(4)-1 (the “Marketing Rule”).1 All investment advisers registered,…
Client Alerts | October 12, 2022 | Hedge Funds | Investment Management | Private Equity Funds
Getting out ahead of mandatory standards could bring organizational improvements and boost assets under management Within an asset management firm’s website may be a page that signals its commitment to diversity, equity, and inclusion (“DEI”) in ownership, leadership, employment and even investing practices. The commitments and aspirations are both admirable and responsive to the increased…
Client Alerts | September 29, 2022 | Hedge Funds | Investment Management | Private Equity Funds
Premier boutique law firm Kleinberg Kaplan was recognized in the latest edition of The Legal 500: United States for its Hedge Funds and Investor Activism practices. The Hedge Funds practice was praised for its “ability to maintain the feel of a small, intimate, collaborative practice, all while maintaining such a large (and growing) industry presence.”…
Firm News | June 17, 2022 | Hedge Funds | Investor Activism
Firm ranked in Hedge Funds category; three partners individually honored New York, June 2, 2022 — Premier boutique law firm Kleinberg Kaplan announced that it has been recognized by Chambers USA 2022 as a leading firm. The firm was again included in the “Hedge Funds (USA – Nationwide)” category, and three Kleinberg Kaplan partners were individually…
FEATURED PUBLICATION | June 2, 2022 | Hedge Funds | Investor Activism
On March 30, 2022, the Division of Examinations (formerly known as the Office of Compliance Inspections and Examinations) (the “Division”) of the Securities and Exchange Commission (the “SEC”) announced its 2022 examination priorities for registered investment advisers (“RIAs”).1 The Division grouped the priorities into six general thematic areas: the operation of private investment funds; environmental,…
Client Alerts | May 2, 2022 | Hedge Funds | Private Equity Funds | Digital Assets and Cryptocurrency
In recent months, the U.S. Securities and Exchange Commission (the “SEC”) has introduced a wave of proposals amounting to approximately 1,100 pages of new and amended rules that will significantly impact the private funds industry, likely subjecting it to an unprecedented degree of regulation. Many of these proposed rules would apply to all private fund…
Client Alerts | April 7, 2022 | Hedge Funds | Private Equity Funds | Securities and Corporate Finance
Premier boutique law firm Kleinberg Kaplan announced that it has been recognized by Chambers Global 2022 for its work on behalf of the world’s leading hedge funds. For the third year in a row, the firm was ranked in the “Hedge Funds (USA)” category, and partners Jamie Nash and Jason Grunfeld were named leading lawyers.…
Firm News | February 17, 2022 | Hedge Funds | Investment Management
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