The following on-demand webinars are presented by Winstead’s Investment Management & Private Funds Industry Group. Winstead counsels clients in all aspects of investment management and private funds—fund formation, advisor/manager mergers and acquisitions, portfolio transactions, regulatory and compliance matters.

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  • Money Laundering Risks in the Investment Management Industry
    The adequacy of anti-money laundering compliance programs has become a hot topic among regulatory and law enforcement agencies. This webinar will walk through AML compliance and recent cases.
    Speakers: Toby Galloway 
  • A Straightforward Discussion of CCO Liability
    This presentation will discuss the liability standard for Chief Compliance Officers as well as instances where the SEC has found CCOs liable for violations of the federal securities laws. This presentation will also offer suggestions for CCO conduct as well as construction and operation of compliance programs in order to minimize risks for CCO liability.
    Speakers: Andrew Rosell and Barry Y. Greenberg (General Counsel and Chief Compliance Officer Cushing Asset Management, LP)
  • DOL Fiduciary Rule
    This presentation will discuss the DOL’s recent reinstatement of its rules defining investment advice fiduciaries and the proposal of a new prohibited transaction exemption for affected advisers.
    Speaker: Lori Oliphant
  • Special Considerations for Special Investment Arrangements
    This webinar will cover typical terms and considerations for strategic, seed and acceleration investment arrangements. We will cover contractual terms, such as lock-ups, consent rights, special withdrawal or termination rights and revenue sharing.
    Speaker: Andrew Rosell
  • Navigating “Down Round” Financings
    After a decade of steadily rising valuations, the coronavirus pandemic has created downward valuation pressure on startup and emerging growth companies. Companies that need to raise capital in the current environment may find themselves able to do so only at substantially diminished valuations, often known as “down rounds.” This webinar will focus on issues particular to down round financings, including transaction structuring, impacts on founders and existing investors and employees, and director and officer fiduciary duty considerations.
    Speakers: Ryan Valenza and Sam Vinson
  • Caution Heavy Load: The Surprisingly Weighty Issues Associated with Estate Planning for Carried Interests
    Carried interests are included in real estate, hedge fund, and other private equity investment vehicles. Because of their appreciation potential, carried interests can appear to be attractive assets to use in a variety of estate planning techniques. However, sometimes when junior family members acquire carried interests in deals in which senior family members are invested, there are unintended and punitive gift tax consequences by virtue of a little known provision of the Internal Revenue Code. Learn about the landmines of estate planning with carried interest, and how to avoid them.
    Speaker: Christine Wakeman
  • Management Company Tax Considerations
    This webinar will discuss common federal income tax issues facing management companies, with a focus on self-employment taxes, and guidance on how to address these issues and increase efficiency through choice of entity, tax elections and other planning.
    Speakers: Marcus Brooks and Trip Dyer
  • ISDAs 101 – Primer on the ISDA Structure and Negotiating Key ISDA
    This presentation will provide a basic understanding of the ISDA structure, general tips for hedge/PE funds entering into ISDAs and how certain of the ISDA terms can be modified through the ISDA Schedule.
    Speaker: Matt Lea
  • Evaluating Digital Asset Custodians’ Legal Due Diligence and Disclosure Points for Investment Advisers and Family Offices
    In this webinar we will discuss the current state of play for digital asset custodians and the cryptocurrency custody services they offer from a regulatory perspective. Then, we will focus on legal due diligence and disclosure points to consider in evaluating the custodian, the services and the proposed form of custody agreement.
    Speaker: Gavin Fearey
  • Be Careful What You Wish For – Investments by Benefit Plans Can Create Obstacles
    Fund managers often receive or even seek investments by pension plans and individual retirement accounts. Those investments can implicate fiduciary responsibilities for fund managers and restrictions prescribed under prohibited transaction rules. This presentation will review the operation of the plan asset rules, the implications of becoming a fiduciary to a benefit plan investor, and the scope of the prohibited transactions rules. We will also explore some common structures and prohibited transaction exemptions utilized by funds accepting benefit plan investors. The presentation will also review new DOL guidance expanding opportunities for private equity investments in 401(k) plans.
    Speaker: Lori Oliphant