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Financial Services

Date Title Type
June 2, 2014 Privacy, Data Protection and Cybersecurity Alert: DOJ Cybercrime Crackdown Client Alert/Update 
March 14, 2014 FundsTalk: March 2014 Newsletter 
March 13, 2014 The Hedge Fund Law Report: Risks Faced by Hedge Fund Managers That Access the Alternative Mutual Fund Market Via Turnkey Platforms Article 
November 20, 2013 Silfen Comments to COOConnect on Risks Associated with Hedge Fund Managers’ use of Traditional Turnkey Platforms Quotes/Mentions 
October 14, 2013 FundsTalk: October 2013 Newsletter 
September 17, 2013 FundsTalk: September 2013 Newsletter 
August 19, 2013 Financial Institutions Alert: CFTC Issues Harmonization Scheme, Permits "Substitute Compliance" Client Alert/Update 
July 3, 2013 Securities Litigation Alert: Second Circuit Addresses American Pipe Tolling and "Relation Back" in Federal Securities Class Actions Client Alert/Update 
April 18, 2013 Silfen Interviewed in The Hedge Fund Law Report on Operating and Distributing Alternative Mutual Funds Quotes/Mentions 
April 2013 FundsTalk: April 2013 Newsletter 
March 2013 Silfen Quoted in International Financial Law Review Piece on Arden Alternative Strategies Fund Quotes/Mentions 
March 2013 Financial Fraud Law Report: Compliance: Regulators Are Focusing on…Everything Article 
February 12, 2013 Silfen Noted in the International Financial Law Review's Article on Arden's Investment Model Quotes/Mentions 
February 4, 2013 Feiman Quoted in Barron's Article on Broker Fees Effect on Fund Performance Quotes/Mentions 
January 21, 2013 Silfen Quoted in Financial News on Funds of Hedge Funds Seeking Capital from Retail Market Quotes/Mentions 
December 6, 2012 FundsTalk: December 2012 Newsletter 
November 6, 2012 Frischling Quoted in Board IQ Article on Mutual Fund Directors Forum’s Release of New Proxy Voting Guidelines Quotes/Mentions 
November 1, 2012 Silfen Quoted in Fund Directions on Possible Rule 4.5 Amendments Quotes/Mentions 
May 4, 2012 FundsTalk: May 2012 Newsletter 
April 12, 2012 FundsTalk: April 2012 Newsletter 
March 18, 2012 Frischling Comments to Investment News on Money Market Funds Quotes/Mentions 
January 18, 2012 FundsTalk: January 2012 Newsletter 
October 28, 2011 Feiman Comments to Barron's on New SEC Reporting Regulations for Hedge, Private-Equity and Liquidity Funds Quotes/Mentions 
August 30, 2011 Board IQ: Two High Court Cases Change the 15(c) Process Article 
September 20, 2010 Financial Institutions Alert: Dodd-Frank: Implications for Private Fund Managers and Non-U.S. Investment Advisers Client Alert/Update 
July 12, 2010 Financial Institutions Alert: Investment Company Use of Derivatives and Leverage - Task Force Recommendations to the SEC Client Alert/Update 
March 26, 2010 Securities Litigation Alert: First Circuit En Banc Rejects 10b-5 Theory of Primary Liability for Securities Professionals Based on "Implied Statements" Client Alert/Update 
June 5, 2009 Securities Litigation Alert: Fourth Circuit Holds That Investment Adviser and Public Company Parent May Face Federal Securities Law Liability for False Statements in Mutual Fund’s Prospectus; Discusses Test for Attribution Requirement Client Alert/Update 
February 5, 2009 Financial Institutions Alert: Hedge Fund Transparency Act Client Alert/Update 
December 2008 Financial Institutions Alert: Preparing for the Unthinkable: The Collapse of Another Major Dealer and Practical Risk Mitigation Strategies To Take Now Client Alert/Update 
November 21, 2008 Financial Institutions Derivatives Alert: State of New York Insurance Department Will Not Regulate Credit Default Swaps as Insurance Client Alert/Update 
November 17, 2008 Financial Institutions Derivatives Alert: Lehman Bankruptcy – Procedures for the Settlement or Assumption and Assignment of Derivative Contracts Client Alert/Update 
November 6, 2008 Financial Institutions Derivatives Alert: Credit Default Swap Regulation Overview Client Alert/Update 
October 21, 2008 Financial Institutions Derivatives Alert: Bankruptcy of a Dealer – An Overview of Derivatives Issues Client Alert/Update 
June 16, 2008 Frischling Quoted in Investment News Article on Performance Fee Funds Quotes/Mentions 
October 29, 2007 Funds Briefing: Autumn 2007 Newsletter 
June 19, 2007 Frischling Quoted in WSJ Article on 12b-1 Fees Quotes/Mentions 
March 7, 2007 Funds Briefing: Spring 2007 Newsletter 
November 27, 2006 Frischling Quoted in Article on Mutual Fund Regulatory Compliance Quotes/Mentions 
Summer 2006 Funds Briefing: Summer 2006 Newsletter 
June 23, 2006 Frischling Quoted in Article on Broker Client Entertainment Rules Quotes/Mentions 
April 17, 2006 Pointless Battle: Legal Proceedings Grind on Over SEC's Mutual Fund Governance Rules Article 
April 7, 2006 Special Alert: Court of Appeals Sides With U.S. Chamber of Commerce Client Alert/Update 
Winter 2006 Funds Briefing: Winter 2006 Newsletter 
December 22, 2005 Frischling Quoted in American Banker Article on Compliance Guidelines Quotes/Mentions 
Autumn 2005 Funds Briefing: Autumn 2005 Newsletter 
November 17, 2005 Frischling Quoted in Ignites Article on Compliance Exams Quotes/Mentions 
Summer 2005 Funds Briefing: Summer 2005 Newsletter 
May 2005 L'attribution gratuite d'actions aux salariés et dirigeants Article 
Spring 2005 Funds Briefing: Spring 2005 Newsletter 
Winter 2005 Funds Briefing: Winter 2005 Newsletter 
Fall 2004 Investment Company Governance Article 
Autumn 2004 Funds Briefing: Autumn 2004 Newsletter 
Summer 2004 Funds Briefing: Summer 2004 Newsletter 
April 2004 Fund Managers Face Enforcement Actions and Regulatory Reforms Article 
Spring 2004 Funds Briefing: Spring 2004 Newsletter 
Winter 2004 Funds Briefing: Winter 2004 Newsletter 
Autumn 2003 Funds Briefing: Autumn 2003 Newsletter 
Summer 2003 Funds Briefing: Summer 2003 Newsletter 
Spring 2003 Funds Briefing: Spring 2003 Newsletter 
January 20, 2003 Penry-Williams Shares Insight on Financial Advisors and the USA Patriot Act Quotes/Mentions 
September 20, 2002 Anti-Money Laundering Programs for Unregistered Investment Companies Client Alert/Update 
March 27, 2000 Frischling Quoted on Fund Director Compensation in Mutual Fund Market News Quotes/Mentions 
February 7, 2000 Frischling Comments on Mutual Fund Board Suit in Investment News Quotes/Mentions 
November 1, 1999 Frischling Quoted in Three Articles in November 1999 Fund Directions Quotes/Mentions 

Privacy, Data Protection and Cybersecurity Alert: DOJ Cybercrime Crackdown

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FundsTalk: March 2014

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Kramer Levin Launches www.PublicAlternativeFunds.com

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