Stephen A. Bornstein's Legal Guides (4)

Taking Your Track Record With You

Feb 08, 2012

By Stephen Bornstein on Monday, January 30, 2012 Achieving the investment returns isn't enough . . . All of youportfolio managers, proprietary traders and research analysts accepting posi...

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Marketing Private Investment Funds: Who Needs to Register as a "Broker" with the SEC

Jan 15, 2012

Two of you are starting a hedge fund and agree to split the management and performance fees in proportion to the money you each bring in. Or, alternatively, you are a fund manager who hires a dedicated...

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Application of the Foreign Corrupt Practices Act to Asset Managers

Dec 22, 2011

If you're seeking an asset management mandate from a foreign government agency or a private equity investee of yours is pursuing a foreign government license or contract, beware of a dangerous pitfall ...

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Performance Presentations by Asset/Fund Managers

Jul 29, 2011

The general rule is no false or misleading statements in performance presentations. But money managers should also be aware of the following specific legal restrictions in reporting their track records...

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