Troutman Pepper Locke Podcasts

Employee Benefits and Executive Compensation Preparing for 2026 – Mandatory Roth and Optional Super Catch-Up Contributions

nicole.sparkswatts@troutman.com (Jeff Banish, Constance Brewster) — Thu, 4 Dec 2025 05:00:00 +0000

In this installment of our Employee Benefits and Executive Compensation Preparing For 2026 series, hosts Constance Brewster and Jeff Banish walk employers through the new rules on mandatory Roth catch-up contributions and the optional "super catch-up contributions," as we approach 2026. This episode distills what's changing, who's affected, updated limits for 2026, and practical steps plan sponsors should take now to prepare for 2026.

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Key Advantages of Using REITs by Funds for Foreign Investors

nicole.sparkswatts@troutman.com (Saba Ashraf, Aresh Homayoun, Tom Phelan) — Mon, 27 Oct 2025 04:00:00 +0000

Welcome back to "The Tax Blueprint: Structuring Funds, Joint Ventures, and REITs." In the third episode of our three-part series, hosts Saba Ashraf, Aresh Homayoun, and Tom Phelan explore the advantages that may be offered to foreign investors in U.S. real estate funds by using REITs.

This episode discusses how REITs can be utilized to minimize U.S. tax return filing obligations and tax liabilities for foreign investors. Saba, Aresh, and Tom discuss a side-by-side comparison of the results of using a C-corporation blocker by the fund and a REIT blocker by the fund.

Stay tuned for upcoming series covering structuring by funds and GPs to ensure maximum utilization of Section 1202, characterization of preferred equity investments, management fee waivers, management compensation structuring, and other topics of interest.

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Employee Benefits and Executive Compensation Preparing for 2026 – Top Five Health and Welfare Updates

nicole.sparkswatts@troutman.com (Laura Ferguson, Lydia Parker) — Mon, 13 Oct 2025 04:00:00 +0000

Join Lydia Parker and Laura Ferguson, partners in Troutman Pepper Locke's Employee Benefits + Executive Compensation Practice, as they discuss the top five health and welfare updates from 2025 to prepare you for 2026, from significant legislative changes to emerging litigation trends that are reshaping the landscape for plan sponsors.

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Key Advantages of Using REITs by Funds for Tax-Exempt Investors

nicole.sparkswatts@troutman.com (Saba Ashraf, Aresh Homayoun, Thomas Phelan) — Fri, 3 Oct 2025 13:00:00 +0000

Welcome back to "The Tax Blueprint: Structuring Funds, Joint Ventures, and REITs." In the second episode of our three-part series, hosts Saba Ashraf, Aresh Homayoun, and Tom Phelan explore the unique advantages real estate funds can offer to tax-exempt investors – including pension plans, university endowments, private foundations, and IRAs.

This episode discusses key strategies for tax-exempt investors to maximize their returns, including the use of REITs as a "blocker" to avoid UBTI, the implications of debt-financed income, and the nuances of the fractions rule.

Stay tuned for upcoming episodes which will cover the advantages of REITs for foreign investors in funds.

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Key Advantages of Using REITs by Funds for US Individuals and GP Stakeholders

nicole.sparkswatts@troutman.com (Saba Ashraf, Aresh Homayoun, Tom Phelan) — Fri, 12 Sep 2025 04:00:00 +0000

Join hosts Saba Ashraf, Aresh Homayoun, and Tom Phelan for the inaugural episode of The Tax Blueprint: Structuring Funds, Joint Ventures, and REITs. This episode kicks off a three-part series exploring the strategic advantages of real estate investment trusts (REITs) for various investor groups. We explore the benefits for U.S. individuals, with a special focus on members of general partner (GP) entities.

Our hosts discuss how REIT structures can offer significant tax advantages and the specific advantages for GP members, such as optimizing state tax strategies and reducing the tax burden on carried interest.

Stay tuned for upcoming episodes, which will explore the advantages for tax-exempt and foreign investors.

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From Legislation to Implementation: Understanding Section 1202 Changes

nicole.sparkswatts@troutman.com (Morgan Klinzing, Jay Jumper, Eric Emrich) — Wed, 27 Aug 2025 04:00:00 +0000

Join Troutman Pepper Locke Partners Morgan Klinzing and Jay Jumper, along with Independence Capital Partners President and CFO Eric Emrich, as they delve into the intricacies of Internal Revenue Code Section 1202, commonly known as the qualified small business stock exclusion. In this insightful episode, the hosts explore the transformative changes brought about by the taxpayer-favorable enhancements to Section 1202, and the impacts on the startup and growth-stage ecosystem. Whether you are a business owner, investor, or tax professional, this discussion will provide valuable perspectives on navigating the evolving landscape of small business stock exclusions.

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Navigating Legal Strategies for Covering GLP-1s in Self-Insured Medical Plans

nicole.sparkswatts@troutman.com (Lydia Parker, Lynne Wakefield) — Mon, 2 Jun 2025 04:00:00 +0000

In this episode of Troutman Pepper Locke's Employee Benefits and Executive Compensation podcast, hosts Lydia Parker and Lynne Wakefield explore the complex legal landscape surrounding the coverage of GLP-1s prescribed for weight loss purposes within self-insured medical plans. As these medications gain popularity, plan sponsors face the challenge of controlling costs while meeting participant demand and maintaining legal compliance. The discussion covers various design alternatives, including cost-sharing strategies, waiting periods, and wellness program rewards, while addressing potential legal risks under HIPAA, the Affordable Care Act, and the Americans with Disabilities Act. Tune in to explore how plan sponsors can navigate these issues effectively as a means to attract and retain employees, while mitigating financial exposure.

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Medicaid Cuts: Potential Challenges and Legal Implications for Long-Term Care Facilities

nicole.sparkswatts@troutman.com (Cal Stein, Emma Trivax) — Wed, 21 May 2025 04:00:00 +0000

Assisted Living and the Law, hosted by Troutman Pepper Locke attorneys Cal Stein and Emma Trivax, offers timely insights and practical advice on navigating the complex and evolving legal landscape of the long-term care industry.

In this installment, Cal and Emma explore the potential impact of proposed Medicaid cuts on nursing homes and long-term care facilities. The discussion includes an overview of Medicaid's role as the primary payer for many nursing home residents and the importance of understanding legal discharge procedures for residents impacted by Medicaid cuts. This episode also covers the implications of a recent federal court decision on the upcoming staffing mandate for nursing facilities.

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Key Takeaways From the OIG's New Compliance Guidance for Nursing Facilities

nicole.sparkswatts@troutman.com (Cal Stein, Emma Trivax) — Wed, 8 Jan 2025 14:00:00 +0000

In this installment, Cal and Emma explore the recently released Nursing Facility Industry Segment-Specific Compliance Program Guidance (ICPG) from the Office of Inspector General (OIG). They provide a historical context for the ICPG, discuss risk areas highlighted by the ICPG, and offer recommendations and strategies for mitigating such risks.

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Executive Compensation in Mergers and Acquisitions

nicole.sparkswatts@troutman.com (Jeff Banish, Josh Gelfand) — Thu, 12 Dec 2024 05:00:00 +0000

In this installment of our Employee Benefits and Executive Compensation Considerations in Mergers and Acquisitions podcast series, Partners Jeffery Banish and Joshua Gelfand discuss many of the complex issues surrounding employee benefits and executive compensation in M&A transactions. They cover key concerns, common pitfalls, and best practices relating to matters that are likely to arise in M&A transactions. Understanding and addressing benefit issues is critical to ensuring that the parties identify the risks and liabilities they may be assuming relating to benefit matters.

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Preparing for CMS Staffing Mandates

nicole.sparkswatts@troutman.com (Cal Stein, Emma Trivax) — Thu, 21 Nov 2024 05:00:00 +0000

Assisted Living and the Law, hosted by Troutman Pepper attorneys Cal Stein and Emma Trivax, offers timely insights and practical advice on navigating the complex and evolving legal landscape of the long-term care industry.

In this installment, Cal and Emma dive into the staffing mandates issued by the Centers for Medicare & Medicaid Services (CMS). They discuss the background and specifics of these mandates, including the required hours per resident per day (HPRD) nursing staff levels and the 24/7 registered nurse requirement. The episode also explores the potential challenges these mandates present for long-term care facilities, such as hiring and retention difficulties, increased operational costs, and the impact on patient care. Additionally, they offer practical risk mitigation strategies to help facilities navigate these new requirements effectively.

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Private Equity Investment in Long-Term Care

nicole.sparkswatts@troutman.com (Cal Stein, Emma Trivax, Joe Kadlec) — Thu, 17 Oct 2024 04:00:00 +0000

In this installment, Cal and Emma are joined by Partner Joe Kadlec to discuss the role of private equity investment in the long-term care industry. Topics include potential benefits and challenges of private equity investments for facility owners, recent regulatory changes and enforcement trends, and risk mitigation strategies for private equity firms.

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Antitrust Considerations in Long-Term Care

Thu, 19 Sep 2024 04:00:00 +0000

In this installment, Cal and Emma are joined by Partners Melissa O'Donnell and Mike Hartman to discuss the intricacies of antitrust considerations within the long-term care space. The conversation covers the historical context of antitrust enforcement in the nursing home industry, the Biden administration's recent approach to antitrust laws, and how these enforcement trends will impact M&A as well as the overall quality of care in long-term care facilities in the future.

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Current Executive Compensation Trends in Private Equity Transactions

nicole.sparkswatts@troutman.com (Michael Crumbock, Joshua Gelfand) — Mon, 9 Sep 2024 04:00:00 +0000

In this installment of our Employee Benefits and Executive Compensation Considerations in Mergers and Acquisitions podcast series, Troutman Pepper Partners Joshua Gelfand and Michael Crumbock discuss current executive compensation trends and issues in the private equity M&A space, including employment contracts, severance, and equity compensation.

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Regulatory Uncertainty: Benefits-Related Legal Challenges in a Post-Chevron World

nicole.sparkswatts@troutman.com (Jim Earle, Lydia Parker, Lynne Wakefield) — Thu, 22 Aug 2024 13:00:00 +0000

In this installment of our Employee Benefits and Executive Compensation podcast series, Troutman Pepper Partners Jim Earle, Lynne Wakefield, and Lydia Parker discuss the impact of the Supreme Court's decision in Loper Bright Enterprises v. Raimondo on benefits-related regulations, including the Department of Labor's Fiduciary Rule; environmental, social, and governance regulations; protections based on sexual orientation and gender identity under the Affordable Care Act; and much more.

We are excited to announce that we will be hosting our annual webinar on September 4, a one-hour event providing updates on year-end actions and key recent developments impacting employee benefits.

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Multiemployer Pension Plans in Mergers and Acquisitions

nicole.sparkswatts@troutman.com (Paul Porretta, Christopher Stock) — Thu, 2 May 2024 13:00:00 +0000

In this insightful episode of our Employee Benefits and Executive Compensation Considerations in Mergers and Acquisitions podcast series, attorneys Paul Porretta and Christopher Stock delve into the complex world of multiemployer pension plans. They discuss critical considerations for businesses contemplating the purchase of entities that contribute to these plans. Topics include evaluating the implications of multiemployer pension plan contribution obligations and withdrawal liability exposure, key diligence to focus on, and deal points the parties may consider. Join us to uncover the significant risks and liabilities associated with these plans and gain valuable insights into strategic planning for your business' future.

We are excited to announce that our annual webinar will be held in September and will provide a comprehensive look at the future landscape of employee benefits and executive compensation.

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Long-Term Part-Time Employee Eligibility Rules Now in Effect

nicole.sparkswatts@troutman.com (Emily Zimmer, Constance Brewster) — Wed, 20 Mar 2024 13:00:00 +0000

In the companion podcast to our recently published client advisory, Troutman Pepper Partners Emily Zimmer and Constance Brewster delve into the intricacies of the SECURE Act, also known as SECURE 1.0, and its successor, SECURE 2.0. They discuss the significant changes brought by these rules, the proposed regulations issued to clarify how these rules are applied, and the steps company-sponsored plans should be taking now.

We are excited to announce that we will be hosting our annual webinar in September, which will provide a comprehensive look at the future landscape of employee benefits and executive compensation.

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A 2024 Economic Outlook

nicole.sparkswatts@troutman.com (Genna Garver, Constance Hunter) — Tue, 19 Dec 2023 13:30:00 +0000

In this podcast episode, Genna Garver, a partner in the firm's Investment Funds + Investment Management Services practice, interviews Constance Hunter, a renowned economist known for her accurate predictions of important market and economic inflection points. Constance discusses MacroPolicy Perspective's unique approach to macroeconomics and shares her global economic outlook for 2024. Constance and Genna also discuss the economic impacts of geopolitical events, the rise of AI in 2023 and the potential for increased regulations in the space, and the outlook for the U.S. economy.

For a copy of the accompanying PowerPoint Presentation, please email research@macropolicyperspectives.com.

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Employee Benefits and Executive Compensation: Getting Ready for 2024 – Top-Hat Plans

nicole.sparkswatts@troutman.com (Jim Earle, Josh Gelfand) — Wed, 6 Dec 2023 13:00:00 +0000

In the final installment of our three-part Employee Benefits and Executive Compensation podcast miniseries, hosts Jim Earle and Josh Gelfand discuss the basics of top-hat plans — what they are and the necessary steps to ensure ERISA compliance.

We are excited to announce that we will be hosting our annual webinar in September 2024, which will provide a comprehensive look at the future landscape of employee benefits and executive compensation.

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Employee Benefits and Executive Compensation: Getting Ready for 2024 - Health and Welfare Plan Developments

nicole.sparkswatts@troutman.com (Lynne Wakefield, Lydia Parker) — Wed, 29 Nov 2023 13:00:00 +0000

In the second episode of our three-part Employee Benefits and Executive Compensation podcast miniseries, hosts Lynne Wakefield and Lydia Parker discuss key health and welfare plan developments as we close out 2023 and head into 2024.

Stay tuned for next week’s episode, where hosts Jim Earle and Josh Gelfand will cover the basics of top-hat plans and what you need to do to ensure ERISA compliance.

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Employee Benefits and Executive Compensation: Getting Ready for 2024 - Qualified Plans

Wed, 15 Nov 2023 13:00:00 +0000

In the inaugural episode of Troutman Pepper's three-part Employee Benefits and Executive Compensation podcast miniseries, hosts Lynne Wakefield, Constance Brewster, and Brianna Hourihan discuss recent legislative developments and pressing issues in the qualified retirement plan space. They delve into the key provisions of SECURE 2.0, proposed regulations on the use of forfeitures, the expansion of the Employee Plans Compliance Resolution System (EPCRS), and recent litigation trends, as well as year-end administrative tasks.

Stay tuned for next week's episode, where hosts Lynne Wakefield and Lydia Parker will highlight key health and welfare plan developments as we close out 2023 and head into 2024.

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New SEC Private Funds Rules – What Is Happening and What You Need to Know

nicole.sparkswatts@troutman.com (Genna Garver, Amber Allen) — Wed, 6 Sep 2023 12:57:18 +0000

On August 23, the Securities and Exchange Commission finalized the Private Funds Rules. Listen to Troutman Pepper Partner Genna Garver and Fairview General Counsel and Executive Vice President Amber Allen as they discuss the new rules. Topics covered include relief regarding some of the final changes versus the proposed version, potential headaches for clients, surprises, and recommended next steps for private fund clients.

While six industry groups filed a lawsuit in the U.S. Court of Appeals for the Fifth Circuit against the SEC challenging the new Private Fund Adviser rule, the rule is and will remain final unless and until vacated by the court. It’s impossible to predict the ultimate outcome of the case and whether the rule will be vacated entirely or in part, or to predict the impact, if any, on the SEC’s fiduciary duty clarifications set forth in the rule’s adopting release.

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Personal Devices and Messaging: Evolving Compliance Concerns and Best Practices

Wed, 24 May 2023 20:00:22 +0000

With methods of professional communication constantly evolving, the U.S. Department of Justice (DOJ) recently revised its Evaluation of Corporate Compliance Programs to address how prosecutors should evaluate the ways that companies are accounting for these developing risks. Corporate policies and procedures must keep pace with these changes as professional communication shifts to personal devices and messaging platforms.

White Collar + Government Investigations Partners Abbey Hazlett and Megan Rahman, eMerge Managing Partner Alison Grounds, and eMerge Managing Director of Technology Chris Haley discuss the realities of conducting business in 2023. They will look at how regulators respond to the increased use of alternative means of communicating in the business context and some of the key considerations for companies subject to their scrutiny. Their discussion includes an overview of the DOJ's updated guidance and current regulatory landscape, perspectives on the compliance risks associated with electronic communication, bring-your-own-device (BYOD) policies, records retention, preservation and collection, and best practices for training and compliance programs.

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Lessons Learned: A Government Litigation Case Study

nicole.sparkswatts@troutman.com (megan rahman, charlie peeler) — Tue, 14 Mar 2023 13:24:07 +0000

Allegations of a sprawling poultry price-fixing scheme affecting millions of Americans. An “unheard-of” three trials. Two mistrials. The Assistant Attorney General for the U.S. Department of Justice (DOJ) Antitrust Division personally explaining to the judge why a third trial would be necessary. And finally, one acquittal.

The above elements of U.S. v. Penn, et. al. — a DOJ criminal price-fixing case against 10 poultry executives — form the central discussion around this special White Collar + Government Investigations podcast. To help dissect the case, Troutman Pepper Partners Megan Rahman (one of the case’s defense attorneys) and Charlie Peeler (former U.S. attorney for the Middle District of Georgia) offer perspectives gained from representing defendants and prosecuting cases against the U.S. government. Megan and Charlie also discuss what this case and other recent matters say about current trends in government litigation and what to expect from the DOJ in the near future.

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New DOJ Guidance Tightens Corporate Enforcement Strategy

Tue, 27 Sep 2022 15:07:59 +0000

Join Troutman Pepper White Collar and Government Investigation Partners Callan Stein, Miranda Hooker, and Allison DeLaurentis for a podcast discussion on the DOJ's updated guidelines regarding corporate criminal enforcement. These guidelines take a tougher stance on white collar crime and a more aggressive approach to prosecution. During this podcast, our speakers summarize the guidance and revisions in each area addressed by the DOJ, while also discussing practical tips and recommendations for companies on how to mitigate risks by improving and enhancing internal controls and policies.

Specific topics include:

DOJ Guidance Generally (2:40)
Topic #1: Individual Accountability (6:19)
Topic #2: Corporate History of Misconduct (10:20)
Topic #3: Self-Disclosures (15:45)
Topic #4: Compliance Monitors (17:47)
Topic #5: Corporate Culture (20:10)
Practical Implications of the Guidance (23:43)

*Kathleen Callahan is not admitted to practice law in any jurisdiction.

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Private Equity and Delaware Law – Part Two

nicole.sparkswatts@troutman.com (Chris Chuff, Taylor Bartholomew) — Wed, 27 Apr 2022 17:08:15 +0000

Troutman Pepper attorneys Chris Chuff and Taylor Bartholomew are well-versed in M&A transactions that involve Delaware law. In the second episode of this two-part series, Chris and Taylor discuss the rules of the road for fraud as they relate to private equity acquisitions.

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Private Equity and Delaware Law – Part One

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 13 Apr 2022 05:00:00 +0000

Troutman Pepper attorneys Chris Chuff and Taylor Bartholomew are well-versed in M&A transactions that involve Delaware law. In the first episode of this two-part series, Chris and Taylor discuss drafting considerations for holding company operating agreements in private equity acquisitions.

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Opportunities and Optimism: M&A Deal Trends

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 25 Feb 2022 14:08:04 +0000

Troutman Pepper Private Equity Partner Alec Watson recently moderated a panel at the ACG Atlanta M&A South Conference. In this podcast, Alec and fellow Partner Jeremy Levy discuss the following panel topics and takeaways:

• 2021 year-end review from a buy-side vs sell-side perspective
• Trends in deal processes
• Rep and Warranty insurance update
• COVID-19 effects on deal-making
• Macro-economic issues affecting deal-making

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Anatomy of a Successful Motion to Dismiss in RICO Case

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 4 Jan 2022 18:59:06 +0000

Rarely do civil Racketeer Influenced and Corrupt Organization Act (RICO) claims get dismissed at the motion to dismiss stage, and seldom does it happen twice. Troutman Pepper recently represented a lobster business in Maine and its family of longtime owners facing significant civil RICO claims in federal court, and twice won the dismissal of virtually all of the RICO claims against them. Here, the clients faced racketeering allegations of embezzling from a labor union, wire fraud, and money laundering.

Join Troutman Pepper Partners Cal Stein and Matt Adler as they discuss the case (1:40), RICO claims (3:58), and various strategies they employed to twice win dismissals (8:09), including focusing on previously taken discovery (14:05), leveraging case law and a past court ruling (20:41), and concentrating on specific elements of the predicate acts of wire fraud (26:15) and money laundering (31:13). They also will discuss the lessons they learned and their possible application to future RICO cases.

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Nursing Home Visitation Guidance Updated to Reflect Vaccine

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 24 Mar 2021 22:19:23 +0000

Nursing home residents’ ability to receive visitors has been strictly limited during the COVID-19 pandemic. In light of the increasing number of vaccinated residents and visitors, CMS and the CDC released updated guidance for nursing homes that provides a significant step toward resuming pre-pandemic visitation standards. This is welcomed news for nursing home residents and their families, many of whom have gone nearly a year without in-person visits with family and loved ones.

Listen to Troutman Pepper attorneys Callan G. Stein, Jan P. Levine, Avrohom C. Einhorn, and Matthew F. Smith as they discuss the new guidance, next steps for nursing home operators, and the impact on the long-term care industry.

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COVID-19 Commercial Leasing Trends Part Two

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 15 Mar 2021 21:40:33 +0000

Troutman Pepper is producing a series of podcasts to discuss legal and business issues companies are confronting in light of the COVID-19 pandemic.

In this episode, Troutman Pepper business litigation partners Brian Watt and Justin Weber discuss litigation trends regarding commercial leases arising out of the COVID-19 pandemic. This episode is moderated by Troutman Pepper real estate partner Gary Knopf. Brian and Justin address recent and evolving developments in commercial lease litigation including:

• The application and interpretation of force majeure clauses
• The application of the common law doctrine of frustration of purpose
• Case law interpretation of lease provisions
• Unexpected real estate litigation issues arising as a result of the pandemic.

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EpiPen RICO Ruling Opens Door for Private AKS Enforcement

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 19 Feb 2021 20:42:34 +0000

A federal district court recently decided that private litigants may proceed in a Racketeer Influenced and Corrupt Organization Act (RICO) lawsuit predicated on violations of the Anti-Kickback Statute (AKS). The plaintiffs allege that rebates paid by EpiPen manufacturer Mylan to various pharmacy benefit managers violate the AKS and increase list prices for wholesale purchasers. Although violations of the AKS do not constitute “racketeering activity” under RICO, the court allowed the plaintiffs’ case to proceed on the theory that the AKS violations constituted “bribery” in violation of the Travel Act (which constitutes “racketeering activity”). Despite no private right of action under the AKS itself, this case opens the door for private lawsuits to enforce the AKS.

Listen to Troutman Pepper Partners Callan Stein and Allan Theon as they discuss the case and its potential impact on the health care industry.

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De Novos During the Time of COVID-19

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 23 Dec 2020 05:00:00 +0000

Troutman Pepper has produced a series of podcasts on legal and business issues faced by companies during the COVID-19 pandemic.

This episode features Troutman Pepper Financial Institutions lawyers Zayne Tweed (moderator) and James Stevens, who discuss de novo banks and “neo-banks” and some of the challenges faced while launching them during COVID-19 (which could be swapped out for any shock to the financial arena which impacts the regulatory process).

Specific topics include:
• General overview of the regulatory process when launching de novos
• Three case studies of de novo projects that took place in the past year
• How the shifting regulatory environment impacted the process for each project
• Communicating with the regulators in a crisis
• Definition of “neo-banks” and how they interact with banks as well as the unique hurdles they face
• How neo-banks offer their products and target customers – it’s often all about the mission
• Increased focus on underbanked communities.

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COVID-19 Commercial Leasing Trends Part One

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 19 Nov 2020 05:00:00 +0000

Troutman Pepper is producing a series of podcasts on legal and business issues faced by companies during the COVID-19 pandemic.

This episode features Troutman Pepper Real Estate Partners Monique Lashbrook (moderator), Gary Knopf, and Hannah Dowd McPhelin, who discuss commercial leasing trends on terminating and renegotiating commercial leases during COVID-19. Specific topics include:

• Terminating and renegotiating lease trends, including amendments to delay commencement dates, deferred rent, and rent abatement.
• Considerations when negotiating new leases.
• Force majeure clauses during a pandemic.
• Current changes in operating expenses due to COVID-19.

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Private Placement Life Insurance Discussion

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 19 Nov 2020 05:00:00 +0000

In this podcast, Troutman Pepper Partners Gregory J. Nowak and Justin H. Brown join Brian Divack and Harvey Feinberg of The PPLI Group for a discussion about private placement life insurance as an estate planning and tax planning tool. The group also examines the impact of the upcoming Georgia Senate runoff races will have on estate planning.

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Board Diversity Discussion

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 17 Nov 2020 14:00:14 +0000

With a hot national spotlight on issues of racial diversity, equality, and inclusion, the composition of corporate boards of directors faces increased scrutiny from the American public, legislators, and the plaintiffs’ bar. The plaintiffs’ bar fired its first shot in July 2020 with a shareholder derivative complaint against the board of a Fortune 100 company, claiming that the directors allegedly breached their fiduciary duties by failing to include diverse directors on their board, despite statements of commitment to diversity, equality, and inclusion. Additional derivative lawsuits against the boards of several public companies that allegedly lack any racially diverse directors quickly followed, and more are likely to come.

As a brief follow up to the October 21 article “A New Wave of Board Diversity Derivative Litigation,” this podcast with Troutman Pepper attorneys Pam Palmer, Howard Privette and Alex Peurach, takes only 10 minutes to expand upon the theories asserted in these new board-diversity derivative actions, analyze potential problems for plaintiffs in sustaining the claims, and provide additional guidance on how to respond to a shareholder demand to take action to address diversity and inclusion.

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Enforcing IP in a Pandemic

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 27 Oct 2020 20:09:14 +0000

Moderna, a biotechnology company that is currently advancing a leading COVID-19 vaccine candidate, recently stated that it would not enforce its vaccine patents during the current health crisis. In light of this announcement, Troutman Pepper Intellectual Property partners Maia Harris, Andrew Zappia and Louis DelJuidice discuss enforcing IP during the pandemic. Their discussion analyzes patent enforcement in the context of litigation, prosecution, USPTO proceedings, and licensing.

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Using Regulation D Rule 506(c) to Raise Capital

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 16 Oct 2020 05:00:00 +0000

Raising investment capital through private offerings has always been a challenge, especially for new and emerging investment managers. COVID-19 has exasperated this challenge by significantly limiting traditional means of marketing, especially in-person pitches and due diligence meetings. This podcast explores an alternative to traditional marketing by engaging in general solicitation and advertising in reliance on Regulation D, Rule 506(c). In this podcast, Troutman Pepper partners Genna Garver and Greg Nowak are joined by Eric Chung from the Lighthaven Fund.

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Summer Enforcement Review and Raising Money in a Pandemic

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 2 Oct 2020 20:51:34 +0000

Every month Troutman Pepper partner Gregory J. Nowak hosts a webinar for West LegalEdcenter. This month, Greg was joined by Evan Katz for a candid review of the investment management space after the summer of 2020.

Topics covered:

recent enforcement actions by the SEC –
crypto and MCAs
CFTC compliance manual release and enforcement priorities
expenses and disclosure issues
raising capital in a pandemic – is 506(c) finally living up to its promise?

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A Conversation with Elite Sportswear

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 24 Jun 2020 13:13:04 +0000

Pepper has a proud history of advising pioneering and innovative businesses around the country. That work has continued even during the current COVID-19 crisis. In this podcast series, we are profiling some of our clients that are stepping up to help society during the pandemic.

In this episode, Pepper partner Justin Weber has a conversation with Todd Kyriss EVP, Operations, and Matt Cowan, Chief Marketing Officer with Elite Sportswear. While Elite Sportswear was planning on spending 2020 gearing up for the 2020 Olympics, they were forced to pivot and use their manufacturing operation to produce face masks and coverings during the pandemic. The podcast covers the hurdles Elite Sportswear had to overcome and the legal challenges they faced as they changed their business overnight.

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Reopening Commercial Buildings

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 16 Jun 2020 05:00:00 +0000

Troutman Sanders and Pepper Hamilton are producing a series of podcasts to discuss legal and business issues companies are confronting in light of the COVID-19 pandemic.

In this episode, Troutman Sanders partner Gary Knopf, Pepper Hamilton partner Hannah Dowd McPhelin, and Lisa Mize, Senior Vice President of Property Management and Construction Services for Shorenstein, discuss considerations for landlords and tenants as commercial buildings begin to reopen in this new normal. Pepper Hamilton associate Julia Tomec hosts the podcast.

Gary, Hannah and Lisa address the following topics:
• Local laws and guidelines landlords should be familiar with in light of COVID-19, such as the number of people allowed to gather in one area, requirements for building occupants to wear masks, and requirements to provide sanitizing stations;

• Methods to control common areas and why landlords should be concerned;

• How landlords should manage deliveries to their buildings; and

• The potential impact of landlords’ responses to COVID-19 on tenants, including passthrough costs and lease amendments.

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A Conversation with Georgetown University

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 15 Jun 2020 19:15:05 +0000

At Pepper, we have a proud history of helping universities protect and commercialize the innovations and new discoveries developed on their campuses. That work has continued even during the current COVID-19 crisis. In this podcast series, we are profiling some of our clients that are stepping up to help society during the pandemic.

In this episode, Shelley Jones, a patent attorney in the Health Sciences Department of Pepper Hamilton has a discussion with Claudia Stewart, Vice President for Technology Commercialization at Georgetown University. They discussed how Georgetown is pivoting some of their research to COVID-19 research projects and how the office of technology commercialization (OTC) supports innovation at the university. The OTC at Georgetown University was an early adopter of socially responsible licensing and Claudia describes how they are implementing socially-responsible licensing in response to COVID-19.

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COVID-19 Impact for Health & Welfare Plans

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 9 Jun 2020 20:47:44 +0000

Troutman Sanders and Pepper Hamilton are producing a series of podcasts to discuss employee benefits, executive compensation, and labor and employment issues that employers are confronting in light of the COVID-19 pandemic, and considerations for employers as they navigate their response to those issues.

In this episode, Pepper Hamilton Counsel Rebecca Alperin and Troutman Sanders Counsel Lisa Shallue discuss the Families First Coronavirus Response Act (FFCRA), the Coronavirus Aid, Relief and Economic Security Act (CARES Act), and subsequent Department of Labor and IRS guidance in the context of health and welfare plans. Rebecca and Lisa explain steps that employers will need to take in order to implement required and optional changes relating to health and welfare plans in response to the new legislation and guidance. Troutman Sanders associate Nida Javaid moderates the discussion.

Lisa and Rebecca address the following topics:
• Group health coverage for COVID-19 and telehealth services – including implications for HSA-compatible high deductible health plans;
• Administrative challenges related to extended deadlines for participants to exercise various COBRA, HIPAA special enrollment, and ERISA claims rights;
• Permitted changes to cafeteria plan flexible spending accounts; and
• Permissible expansion of Educational Assistance Programs to include employer provided student loan repayments.

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MAE Clauses

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 20 May 2020 14:17:16 +0000

Troutman Sanders and Pepper Hamilton are producing a series of podcasts to discuss litigation topics that have been brought to the forefront by the COVID-19 pandemic and how businesses might be able to prepare and respond.

In this episode, Troutman associate Sean Ehni leads a discussion on Material Adverse Effect (MAE) clauses. Sean is joined by Pepper partners Matt Adler and Joanna Cline, and Troutman partners John Bradley and Coby Beck. Topics discussed include how they are drafted and negotiated, and whether Covid-19 could qualify as an MAE and be used as an escape hatch to contractual performance. They also discuss how MAE clauses are drafted and negotiated, how MAEs have been interpreted by courts, the litigation related to them, and dig into some other ways COVID-19 has affected the negotiation and execution of M&A transactions.

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Back to Work Issues

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 18 May 2020 14:04:25 +0000

In this episode, Pepper of counsel Tracey Diamond discusses back to work issues for employers with Pepper partner Susan Lessack and associate Lee Tankle, and Troutman associate Kristalyn Lee. Topics discussed include workplace safety, employee exposure and employee complaints.

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Manufacturing Masks-Protective Equipment in the Age of COVID

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Sat, 9 May 2020 21:56:57 +0000

In this episode, Troutman Sanders partner Robert Browne talks about considerations for limiting liability for manufacturers of masks and other protective gear for healthcare providers and the general public. Joining Robert for this podcast are Pepper partners Sharon Klein and Judy O’Grady, and Troutman Sanders associates Brett Tarver and Victoria Alvarez.

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CARES Act – Retirement Plan Distributions and Loans

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 8 May 2020 17:00:09 +0000

In this episode, Troutman Sanders partner Mamta Shah and Pepper Hamilton partner Paul Porretta discuss opportunities provided by the Coronavirus Aid, Relief and Economic Security Act (“CARES Act”) to offer “qualified individuals” favorable tax treatment for “coronavirus-related distributions” and greater flexibility on plan loan limits and repayment terms in the context of 401(k) plans and other tax-qualified defined contribution retirement plans. Troutman Sanders associate Chris Stock moderates the discussion.

Paul and Mamta address the following topics:
• The extent to which plan administrators are accepting self-certification of “qualified individual” status, and the form and content required;
• Money sources available in participant accounts for coronavirus-related distributions;
• Design and administrative considerations;
• Amending plan documents and updating summary plan descriptions;
• Communicating coronavirus-related distribution and plan loan rules to participants; and
• Key open issues pending IRS guidance.

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A Conversation With Consortium

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 6 May 2020 18:15:31 +0000

In this podcast series, we spend time talking to some of our clients that are stepping up to help during the COVID-19 pandemic. In this episode, Pepper partner Peter Wakiyama has a discussion with Sam Payrovi, Chief Executive of Consortium. They discuss some good tips for an emerging company in general and how Consortium quickly transformed their business to be able to move forward during COVID-19 and work with New York City, including the legal challenges they faced.

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The Impact On Litigation

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 5 May 2020 05:00:00 +0000

In this episode, Pepper Hamilton partner Amy Foerster focuses on the impact on litigation itself, both ongoing and newly filed cases. Joining Amy for this podcast include Pepper Hamilton partners Alan Kessel and Jeff Carr, and Troutman Sanders partners Lindsey Mann and Alison Grounds.

Topics covered in this podcast include:
• Current trends and tips to keep cases progressing,
• Issues to consider when the courts reopen their physical operations,
• Impact of the virtual working environment on data collection,
• potential permanent changes to litigation practices following COVID-19.

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Commercial Leases - Navigating a New Normal

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 28 Apr 2020 05:00:00 +0000

Pepper partners Hannah McPhelin and Justin Weber join this podcast to discuss issues regarding commercial real estate leasing in light of COVID-19. They explore what is currently occurring in the marketplace, what legal issues tenants and landlords are raising during the pandemic and the framework for examining these issues, and practical ways to approach these situations. They also focus on what issues parties should be anticipating and how the current situation will influence provisions in new leases that are being drafted.

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Regulatory Takings and Executive Power to Seize Property

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Sun, 26 Apr 2020 00:54:38 +0000

In this episode, Pepper Hamilton partner Tambry Bradford focuses on regulatory takings and executive power to seize property during the COVID-19 crisis, focusing on business closure orders and other orders of state and local governments. Joining Tambry for this podcast are Pepper Hamilton partners Mike Hino and Justin Weber, and Troutman Sanders partners Ashley Taylor and Chris Browning.

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Securities Litigation and Disclosure Issues

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 21 Apr 2020 16:59:51 +0000

In this episode, Pepper Hamilton litigation partner Doug Herrmann focuses on securities litigation and disclosure issues. Joining Doug are litigation partner Tim Mast and corporate partner David Meyers with Troutman Sanders, and Pam Palmer and Bob Hickok, litigation partners with Pepper Hamilton.

Topics discussed include if there will be a rise in litigation, including class actions and derivative law suits, SEC disclosure guidance, and also loss causation claims and insolvency issues.

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Liability Issues for Open Businesses During the Crisis

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 16 Apr 2020 19:20:07 +0000

In this episode, Troutman Sanders partner Brian Watt focuses on liability issues for businesses that remain open during the crisis with Troutman Sanders partners Matt Aaronson and Ashley Hager, and Pepper Hamilton partners Brian Downey and Will Taylor.

The team discusses:

• how the “stay at home” orders of various states impact whether a business should stay open, and what enforcement actions it may face if it is not an exempt business or does not follow the mitigation measures required of any exempt business

• several employment issues that employers are facing related to the crisis

• the types of litigation related to COVID-19 that businesses are already facing, including class action lawsuits

• steps that a business should follow to reduce liability risks.

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Force Majeure Provisions During the COVID-19 Pandemic

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 10 Apr 2020 20:17:56 +0000

In this episode, Troutman Sanders partner Alex Peurach discusses force majeure provisions and other common law defenses to contractual performance with David Meadows and James Washburn, litigation partners with Troutman Sanders, and Angelo Stio and Jeremy Heep, litigation partners with Pepper Hamilton.

The team discusses a number of questions including:
• is the COVID-19 pandemic a force majeure event?
• does the occurrence of a force majeure event terminate the entire contract?
• can the occurrence of a force majeure event excuse a party’s payment obligations?
• what to tell a party to do if they receive a notice from a counterparty claiming force majeure, impossibility, or frustration of purpose?

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Protecting Intellectual Property

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 25 Feb 2020 15:20:33 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on now in the investment management world, including issues that affect private funds and their managers.

For this discussion, Mr. Nowak is joined by Pepper attorneys Lori E. Harrison, Michael K. Jones and Peter T. Wakiyama for a thought-provoking discussion about protecting intellectual property — the “secret sauce” of your asset management enterprise.

Key topics include:
• A review of recent rulings concerning patents, trademarks and copyrights and how they affect the asset management, lending and payments industries
• A review of basic M&A/deal principles when IP is involved
• How to protect your SEC track record from “poachers,” or conversely, how to make it portable.

This podcast is a recording of their discussion.

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Investment Mgmt Roundtable Discussion – Data Privacy

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 10 Jan 2020 05:00:00 +0000

For this discussion, Mr. Nowak is joined by Kirsten Bay of Cysurance and Pepper partners Angelo A. Stio III and Peter T. Wakiyama for a discussion on how cybersecurity, cyber insurance and data protection affect the asset management (hedge, PE, alternative, SMA and registered funds) and brokerage industries.

Key topics include:

What is data under the law - intellectual property, intangible asset or other classification?
Is data capable of being owned?
Can intellectual property rights be claimed and enforced for data?

This podcast is a recording of their discussion.

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Investment Mgmt Roundtable Discussion - Regulatory Update

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 10 Jan 2020 05:00:00 +0000

For this discussion, Mr. Nowak is joined by Pepper attorneys Jay A. Dubow and Christopher M. Trueax to provide an SEC, FINRA and DOJ regulatory and enforcement update.

This podcast is a recording of their discussion.

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Investment Mgmt Roundtable Discussion - Internet 3.0

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 9 Jan 2020 05:00:00 +0000

Internet 1.0 is HTML websites. Internet 2.0 is a social network and user-created content. Internet 3.0 is the decentralization of everything: decentralization of marketplaces, resources usage and allocation, etc. Is Internet 3.0 the P2P of everything? This month, Mr. Nowak is joined by George Popescu, editor in chief, Blockchain Times and Lending Times; Mohamed El Dessouki, CEO, JACS; Shawn Belcher, executive director, Tezos Commons; and Salvatore Buccellato, partner, EtherDelta, to discuss legal and regulatory aspects of working on the Internet 3.0 framework.

This podcast is a recording of their discussion.

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Investment Mgmt Roundtable Discussion - Personal Estate Planning

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 9 Jan 2020 05:00:00 +0000

In this discussion, Mr. Nowak is joined by Brian Divack, vice president of advanced planning at Divack Insurance Group; Ricardo Calderon, managing director at MAS Advisors LLC; Robert Stuchiner, president of Synergy Life Brokerage Group; and Lawrence Lipoff, director at CohnReznick. The panelists provide an overview of utilizing life insurance and annuities as investment options and employing insurance to supercharge your personal estate plan and maximize your retirement portfolio.

This podcast is a recording of their discussion.

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A Discussion on Kollaritsch Decision

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 16 Dec 2019 19:49:38 +0000

On December 12, the U.S. Court of Appeals for the Sixth Circuit issued its decision in Kollaritsch v. Michigan State University Board of Trustees, holding that, in order to be liable for deliberate indifference under Title IX, a school’s response must have failed to protect a plaintiff against actual further harassment. Listen to this podcast with partners Kristin H. Jones and Michael E. Baughman who discuss this important decision. Mr. Baughman represented Michigan State University in this case.

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International Litigation & Transactions in the Face of GDPR

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 26 Nov 2019 17:02:43 +0000

On December 11, 2019, Pepper Hamilton will host our 10th Annual Antitrust Developments Update in Philadelphia. This interactive seminar will cover some of the leading topics in antitrust today and will provide attendees with practical guidance on how to minimize and manage their exposure in litigation.

In this podcast, we are joined by Jeremy Heep, co-chair of the Litigation and Dispute Resolution Department and co-chair of the Antitrust and Competition section, and Alex Nisenbaum, a member of the firm’s Health Sciences Department, to preview their panel at the conference entitled “International Litigation and Transactions in the Face of GDPR.”

Topics discussed on the podcast include why does GDPR pose ethical challenges and what are some of the issues in transactions related to GDPR.

To request a seat at this event, contact Kim MacAlister at macalisterk@pepperlaw.com.

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The Art of International Arbitration –

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 20 Sep 2019 15:03:04 +0000

On October 11, 2019, Pepper Hamilton will host an interactive seminar entitled “The Art of International Arbitration.” Matt Adler, partner and chair of Pepper’s International and Domestic Arbitration Practice Group, Maia Harris, partner with the firm’s Intellectual Property Department, and Zach Torres-Fowler, associate in the firm’s Construction Practice Group, join this podcast to preview the topics that are going to be addressed at the conference and who might be interested in attending.

Contact Kim MacAlister at 215.981.4249 or macalisterk@pepperlaw.com with any questions about the conference or to request the materials.

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Fund Fees and Expenses Trends

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 20 Aug 2019 20:46:02 +0000

Julie Corelli, a Pepper partner and co-chair of the firm’s Private Fund Services Group, joins this Pepper podcast to discuss trends in fund fees and expenses. In 2014, 2016 and 2018, Julie spearheaded for Pepper surveys published by PFM, in which fund managers shared how they deal with fees and expenses. In addition, in 2015, Pepper and MergerMarket partnered to take a close look at the co-investment environment.

Taken collectively, these surveys offer unique insight into how fund CFOs and CCOs approach ordinary and extraordinary fees and expenses that occur in the life of a private equity fund. These fees and expenses need to be appropriately allocated to investors, co-investors and/or managers. But what is appropriate?

Julie recently wrote an article for the Journal of Private Equity where she reviewed the guidance that the surveys offer and how to address unanswered questions when industry guidance is lacking.

Julie joined the podcast to share what she learned from the process of writing that article.

Topics covered include:

• Where along the deal timeline do expenses cease to be included under management fees and become deal costs?
• How are broken deal expenses treated?
• What are the major drivers of co-investing?
• Are regulatory expenses growing?

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Investment Management Update – "Alt Fi" Investment Opps

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 20 Feb 2019 12:19:30 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.

This month, Mr. Nowak will host an in-depth discussion of "Alt Fi" investment opportunities, such as merchant cash advance, Regulation A+, factoring, syndication and participations. Mr. Nowak will be joined by Pepper Special Counsel Mark T. Dabertin and Alex Shvarts, founder and CTO of FundKite.

This podcast is a recording of their presentation.

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Investment Management Update – Choosing the Best Structure

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 23 Jan 2019 09:43:34 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.

This month, Mr. Nowak focuses on finding the best structure for your investment strategy/platform. Topics include: service or product; SAM or fund; open or closed-end; registered or unregistered; privately offered or some form of general solicitation; CRA, Opportunity Zone, Crypto or blockchain, or standard venture, PE or hedge; and fee structures for the seasoned investment professional or the startup manager.

This podcast is a recording of his presentation.

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Investment Management Update – Economics

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 23 Jan 2019 08:33:20 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.

This month, Mr. Nowak will be joined by Pepper attorney Ausra Ragauskaite, Dave Dalzell from Dalzell Trading and Timothy V. Frazier from TriNet to discuss the economics and reasons for outsourcing. Topics will include:

• What are the SEC and FINRA ground rules for outsourcing by registered investment advisers and broker dealers, respectively?
• Who are the logical users of outsourced services and why:
o FINOP and CCO
o Custody and administration
o Investment management
o Trading
o HR functions
o What do these relationships look like?
How do they operate in practice?
• When is it a good time to outsource — at the beginning of your growth spurt, as you grow, or after you have turned the corner?

This podcast is a recording of their presentation.

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Investment Management Update - Regulatory and Enforcement Update

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 22 Jan 2019 14:49:42 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.

This month, Mr. Nowak will be joined by Pepper attorneys Jay A. Dubow, Richard J. Zack and Cassandre L. Juste to provide an SEC, FINRA and DOJ regulatory and enforcement update.

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Investment Management Update - Exit Strategies

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 22 Jan 2019 10:21:37 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, hosts a monthly webinar series for West LegalEdcenter.

This month, Mr. Nowak, is joined by Richard Juliano, chief operating officer at Emerald Asset Management, Inc., Frederic Way, director of asset management industry vertical of the financial institutions group of Barclays Capital, and Paul L. Porretta and Katelyn D. Winslow, attorneys in Pepper Hamilton’s Employee Benefits and Executive Compensation Group. The panelists will discuss exit strategies — understanding industry comparable and harvesting value from your asset management firm through sales, management buyouts, ESOP structures, profit-sharing plans, SARs, deferred compensation plans and other planning devices.

This podcast is a recording of their presentation.

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Fixed-Price Contracts Are Simple – Or Are They?

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 29 Jun 2018 11:33:27 +0000

Fixed-price contracts are well-known among contractors. These agreements seem simple — they do not allow the contract price to be modified after the award unless the parties expressly agree. But is it really that simple? In reality, there is very little case law guiding the practical approach to these types of contracts.

In this podcast, Marion Hack, a partner in Pepper’s nationally recognized Construction Practice Group, which Chambers USA recently named Construction Law Firm of the Year, discusses the definition of fixed-price contracts and cases in which the audit provision in the contract has been unsuccessfully used to assert claims for reimbursement and False Claims Act liability.

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When Can a State Require a Vendor to Collect Sales Tax?

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 3 May 2018 14:32:47 +0000

In this podcast, Pepper tax attorney Lance Jacobs takes a look at the case of South Dakota v. Wayfair, Inc. Oral arguments were heard by the U.S. Supreme Court in April 2018, and a decision is expected this June. This case affects any company that handles sales over the internet.

Mr. Jacobs discusses the state of U.S. sales tax law leading up to this case, explains the South Dakota law at issue in South Dakota v. Wayfair, Inc., looks at how both sides are arguing their respective cases, and gives insight on how the case could be decided.

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Innovative Fund Structures

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 28 Mar 2018 14:21:11 +0000

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group hosts a series of candid, interactive discussions on what is going on now in the investment management world, including issues that affect private funds and their managers for West LegalEdcenter.

This month, Mr. Nowak was joined by Angel Colon of Turing Funds and Gil Mendez of Red Ivy Funds, along with Pepper special counsel Mark T. Dabertin, for a discussion of innovative fund structures, foreign exchanges, ISIN qualification and U.S. securities laws issues and implications, including AML and KYC.

This podcast is a recording of the webinar.

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Cryptocurrency Regulatory Developments

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 27 Feb 2018 09:28:16 +0000

This month, Mr. Nowak was joined by Pepper attorneys Joseph C. Guagliardo, Todd R. Kornfeld and Johanna R. Collins-Wood and director of business development at Trident Trust Group David Madden to discuss recent regulatory developments in the cryptocurrency space. The panel discusses both the point of view of the ICO/crypto issuer and the ICO/crypto investor.

This podcast is a recording of the webinar.

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A Discussion on Independent Sponsors

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 9 Feb 2018 14:31:51 +0000

Pepper Hamilton has been a sponsor of iGlobal’s Independent Sponsors Summit in New York City for the last couple of years. In this podcast we are joined by Pepper attorneys Julie Corelli, Ben Mittman and Jeremy Levy. Julie joined a panel at the conference this year and was also able to give a ten minute talk to the conference on “Structuring an Independent Sponsor Program,” while Ben and Jeremy were active attendees.

In this podcast we discuss themes we heard from capital providers and independent sponsors that were in attendance at the conference. We also go into detail about Julie’s “Structuring an Independent Sponsor Program” topic from the conference. This discussion covers issues from the new tax rules, choice of entity for the firm, special purpose vehicles, how to position yourself for success and the regulatory landscape facing independent sponsors.

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The Impact of the Tax Act on Funds

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 7 Feb 2018 09:25:44 +0000

This month, Mr. Nowak was joined by Pepper partners Joan C. Arnold and Jennifer A. O’Leary and of counsel David Stauber to discuss the impact of the Tax Act on funds, investors and investment managers. This podcast is a recording of the webinar.

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Cannabis Podcast — Update on Sessions Memo

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 12 Jan 2018 09:06:28 +0000

On January 4, 2018, Attorney General Jeff Sessions issued a memo to all U.S. Attorneys discussing marijuana enforcement. The one-page memo rescinds previous DOJ guidance on marijuana enforcement, and has been seen by some as Sessions’ crackdown on the legal cannabis industry.

This podcast is a discussion with Alva Mather and Jay Dubow, leaders of Pepper’s Cannabis Industry Group, about the Sessions memo and its impact. Topics discussed include how will the new DOJ guidance affect legal recreational marijuana; how does the Session’s memo affect industries that support cannabis industries; and the political impact of the Sessions memo.

Our Cannabis Practice provides advice on issues related to applicable state law. Cannabis remains an illegal controlled substance under federal law.

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View of Venture Capital and Emerging Companies

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 10 Jan 2018 09:00:27 +0000

Pepper Hamilton was the coaching sponsor of the 2017 New England Venture Summit at the end of last year. Pepper had a nice team at the conference over the two days, and we are joined by most of them for this podcast. Pepper attorneys Shirley Kuhlmann, Steve London, Nick Stawasz, and Dan Sieck joined me to discuss a recap of the themes, insights and concerns they heard from the VCs and companies looking for funding during the conference.

Topics covered include blockchain technology, tips for pitching to VCs, industries and sectors being invested in, and competition for available VC dollars.

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Cannabis Podcast — A New Jersey Update

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 19 Dec 2017 10:54:45 +0000

The New Jersey Compassionate Use Medical Marijuana Act was passed in 2010, legalizing marijuana use for patients with certain approved debilitating medical conditions.
In the 2017 election for New Jersey’s next governor, both candidates promised changes to the state’s laws surrounding marijuana. With Democrat Phil Murphy set to take office on January 16, we sat down with Alva Mather and Jessica Bae, members of our Cannabis Industry Group to discuss what’s next in New Jersey and how it may affect neighboring states.

Our Cannabis Practice provides advice on issues related to applicable state law. Cannabis remains an illegal controlled substance under federal law.

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Cannabis Industry FAQ – December 2017

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 1 Dec 2017 15:23:28 +0000

In July of 2017 Pepper Hamilton formalized our cannabis industry group by drawing together attorneys from a variety of practice areas to make a multidisciplinary team. Those practices included attorneys with experience in health sciences, pharmaceuticals, intellectual property protection and alcohol and food regulations.

We are joined on this podcast by the three partners leading this team – Alva Mather, Jay Dubow and Michael Jones. Topics covered on the podcast include:
• providing a general overview of the state of marijuana nationally, at both the federal and state levels
• discussing the background of the Cole Memo
• reviewing whether cannabidiol (aka CBD oil) is legal under federal or state law and the practical implications for these distinctions
• covering banking concerns when running a marijuana business
• reviewing whether marijuana businesses can receive any patent protection, federal trademark registrations or federal copyright protections.

Please feel free to contact any of our podcast speakers if you wanted to discuss these topics further or go over other topics not covered during our podcast.

Our Cannabis Practice provides advice on issues related to applicable state law. Cannabis remains an illegal controlled substance under federal law.

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A Review of Initial Coin Offerings

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 7 Nov 2017 18:08:18 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. Recent reports have noted that Initial Coin Offerings (ICOs) have raised more investor capital than venture and angel investing combined since the beginning of 2017. The institutional investor community needs to understand this important new asset class.

This month, Mr. Nowak was joined by David Madden, Director at Trident Trust Group, Tim Kuhman, General Counsel and VP of Compliance at Kingdom Trust and Tom Garrambone, Founding Partner at Tetras Capital, for a robust discussion on ICOs and the investments they spawn - what are they; what is the investment opportunity; can these be commingled in a fund; what are the risks to be aware of as an issuer, servicer, investor and exchange; and what have the SEC and other regulators âhad to say.

This podcast is a recording of this session.

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Summer Blockbusters

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 7 Nov 2017 10:25:28 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Pepper attorney Cassandre L. Juste, and together they provide a review of the âsummer blockbustersâ affecting the investment management and brokerage industries including:

â¢ New form ADV effective October 1, 2017; the SEC is focusing in on compensation that is tied to solicitation of clients by your employees (among other issues)
â¢ New FINRA licensing line-up and procedures
â¢ The SECâs focus on cryptocurrencies â The DAO Whitepaper
â¢ Recent enforcement cases, including one against a CCO.

This podcast is a recording of this session.

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How to Be Successful During the Invt. Banker-Led Auction Process

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 3 Nov 2017 11:59:44 +0000

The last several years have seen the investment banker-led auction become a common method of selling businesses. We recently sat down with Pepper partner Andrew Hulsh and Eric Saucedo of Tricap Partners & Co. to discuss this topic. Mr. Hulsh and Mr. Saucedo both participated in a breakfast briefing in Pepper’s New York office around the auction process, which also featured executives from Star Mountain Capital, TSG Consumer Partners and JMP Securities.

Topics covered in the podcast include: the current state of the investment market (:55); how does a company approach an auction process (2:19); what does a PE fund or institutional investor need to do before an auction to increase their probability of success (3:13); tips for dealing with the management team of the company up for sale (7:39); if auctions are here to stay (10:00); and valuation and deal structure issues (10:44).

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Talking Arbitration With the Peppers Who Wrote the Book

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 19 Sep 2017 11:43:00 +0000

Pepper Hamilton partner Matthew H. Adler chairs the firm's International and Domestic Arbitration Practice Group and is co-chairman of the Commercial Litigation Practice Group. He is also a lecturer at the University of Virginia School of Law. Matt recently authored a new text book on arbitration with the help of some Pepper associates, including Katherine B. Puccio and Ryan E. Peters. We sat down with all three Peppers to discuss the new book and its impact on law students and Pepper clients.

Topics covered include a background on the project (0:35); discussion of the three-part chronology of the book (2:31); international arbitration (7:30); social impact of arbitration (15:24); and why arbitration is an important tool (22:30).

The book is available for purchase from Carolina Academic Press.

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Trending VC and Startup Insights from NY Venture Summit

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 3 Aug 2017 20:54:46 +0000

Pepper has been a longtime sponsor of the New England Venture Summit and, for the last two years, has taken over the Coaching Sponsor role of the New York Venture Summit. This year's Summit took place in mid-July, and Pepper partner Scott Jones from our Health Sciences Department and Emerging Growth Group moderated two VC panels over the course of the Summit.

Scott joined us to discuss insights he learned from his VC panelists; trends he heard during conversations with guests at our private VC dinner the night before the Summit; and the biggest concerns he heard from startup leaders at the conference looking for financing.

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Raising Investment Dollars

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 6 Jun 2017 20:20:11 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Alex Mascioli, Managing Partner at North Street LP and Evan Katz, Managing Director at Crawford Ventures, Inc. for a discussion of best practices for raising investment dollars for your private fund and investment management business. Mr. Nowak will review recent developments affecting private placements, business brokers, JOBS Act placements, and other capital-raising strategies.

This podcast is a recording of this session.

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SEC Modernization in Plain English

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 5 May 2017 15:56:10 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter.

In October 2016, the SEC issued its final Investment Company Reporting Modernization rules with a 597-page release. Although the registered investment company industry is well acquainted with sweeping regulatory changes, these new rules pose unique reporting challenges for all registered funds and their service providers.

This month, Mr. Nowak is joined by John P. Falco, partner with Pepper Hamilton, and Jay Nusblatt, managing director at Donnelley Financial Solutions, for a discussion tailored for registered funds and mutual funds that are subject to the new reporting requirements. The panelists will discuss their joint white paper regarding the recent rules and practical tips and strategies for preparing to comply with the new requirements. This podcast is a recording of this session.

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Valuation Issues in Hedge Funds

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 5 May 2017 15:10:44 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Jim Kerr, managing director at Rockport Investment Partners and Andrew Halperin, partner at EisnerAmper to discuss the valuation of assets held by funds, of interests in funds and of the manager's/GP's carry. This podcast is a recording of this session.

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100 Days

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 4 May 2017 14:12:31 +0000

Title IX guidance and enforcement were a major focus of the Obama administration and now after the 100th day of the new administration, most members of the higher education community still are wondering if we will continue to see the same level of regulatory enforcement as the prior administration.

In this podcast we are joined by Michael E. Baughman and Kristin H. Jones, leaders of Pepper's Higher Education practice, to discuss what we have learned in these first few months of the administration, the Department of Education's February 22, 2017 Dear Colleague Letter and recommendations to higher education institutions right now on the future of Title IX and the 2011 and 2014 Dear Colleague Letters.

Please email dolanb@pepperlaw.com if you are interested in signing up for future podcasts and alerts on higher education issues.

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Independent Sponsors in the Lower Middle Market

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 13 Apr 2017 10:45:02 +0000

Pepper Hamilton has been a sponsor of iGlobal’s Independent Sponsors Summit in New York City for the last couple of years. In this podcast we are joined today by Pepper partner John Rogers who is slated to speak at the Summit on April 20, 2017. We discussed what activity he is seeing in the independent sponsor space, regulatory issues that need to be focused on and developments in how independent deals are being financed.

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LendIt USA 2017 Recap Discussion

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 20 Mar 2017 18:42:11 +0000

Pepper had a large presence at LendIt USA 2017 on March 6-7, 2017 in New York City. We sat down with two members of Pepper’s Marketplace Lending team that were there to discuss their thoughts on the conference. Pepper attorneys Gregory J. Nowak and Todd R. Kornfeld covered what were the most pressing issues they were hearing from attendees (2:55); China’s presence at the conference (6:22); the Trump administration effect on the industry (11:00); the monetization of the industry (14:27); key takeaways from panels (15:42); and the Madden case (20:28).

If you are interested in subscribing to Pepper’s Marketplace Lending alerts to keep up with this fast moving industry, please email dolanb@pepperlaw.com.

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The New Tax Landscape for Investment Management

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 6 Mar 2017 17:03:41 +0000

This month Mr. Nowak was joined by Pepper partners Joan C. Arnold, Steven D. Bortnick and Jennifer A. O’Leary to discuss the new tax landscape. The discussion will include the following topics:

-Investment proposals in Ryan’s “A Better Way” blueprint for tax changes

Status of carry taxation
Fee waiver regulations

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Investment Management Update - Protecting IP

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 30 Jan 2017 18:53:49 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Pepper attorneys Michael K. Jones, Peter T. Wakiyama, Lori Harrison and Joseph J. Holovachuk to discuss “Protecting Intellectual Property Using Business Process Patents, Trade Secrets, Copyrights and Trademarks.” The panel covers the importance of having an IP strategy and IP portfolio among other topics.

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Investment Management Update - FCPA and PE Fees and Expenses

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 30 Jan 2017 15:41:40 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Pepper partners Martin S. Bloor and Julia D. Corelli to discuss recent enforcement actions under the Foreign Corrupt Practices Act and findings of Pepper's recently published report on private equity funds entitled Fees and Expenses 2016: A pfm Benchmarking Survey.

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Investment Management Update - SEC/CFTC Discussion

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 30 Jan 2017 15:18:33 +0000

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. For this episode, Mr. Nowak is joined by Pepper attorneys Jay A. Dubow and Cassandre L. Juste to discuss the efforts of the SEC and CFTC during 2016.

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What Do the Election Results Mean for Fin Svrs Industry

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 5 Jan 2017 18:56:17 +0000

With President-Elect Donald Trump taking office in a couple of weeks, we thought it was a good time to discuss a topic that a lot of our clients have been calling us about since November 9th - what does a Donald Trump presidency mean for the Financial Services Industry.

Joining forces from Pepper’s Financial Services practice for this podcast are Pepper partners Rick Eckman and Greg Nowak, and special counsel Mark Dabertin. Topics covered in detail include: impact of a Trump presidency on our economy in general and specifically the financial services industry (:39); discussion on the type of person that could be named to positions such as the head of the Federal Deposit Insurance Corporation and members of the Federal Reserve Board (3:53); changes at the Department of Justice as they relate to the financial services industry with Senator Sessions being nominated to be the Attorney General (7:28); if a return of Glass Steagall is in the cards (10:15); the future of Dodd Frank and the Consumer Financial Protection Bureau (CFPB) (21:27); most likely changes to the CFPB (36:36); CFPB’s controversial rulemaking in progress relating to small dollar loans and arbitration (40:15); will the CFPB continue to regulate by enforcement (45:50); is a repatriation of offshore money coming (48:04); how will the fintech industry be affected (54:16); the Federal Trade Commission’s role in consumer protection (56:39); and whether consumer protection is dead under a Trump administration (1:00:34).

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Bar Talk – Alva Mather

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 2 Nov 2016 15:34:57 +0000

Glen and Joe talk with Alva Mather, an attorney who practices alcohol law.

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Funds and Leverage

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 31 Oct 2016 20:24:55 +0000

Pepper partner Gregory J. Nowak hosts a monthly Investment Management Roundtable for West LegalEdCenter. This session’s topic was funds and leverage. Pepper attorneys John P. Falco, John M. Ford, Paul W. Hespel, Todd R. Kornfeld and Elizabeth R. Tabas Carson joined Mr. Nowak.

The panel covered:

How funds take down leverage – bank lines, senior debt, mezz debt, securitization and swaps
Cross-border issues
Standard documentation set
U.S. Regulatory issues including account control agreements, trust indentures and UCC filings.

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Enterprise Risk Assessment

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Mon, 31 Oct 2016 19:55:33 +0000

Pepper partner Gregory J. Nowak hosts a monthly Investment Management Roundtable for West LegalEdCenter. This session’s topic was enterprise risk assessment. Joining this program was Adam Depanfilis, Director at KPMG, and Jeff Lindenbaum, Chief Executive Officer at CQS.

The panel discussed the following topics:

• Defining and understanding enterprise-wide risks (EWRs)
• Addressing regulatory requirements for dealing with EWRs
• Effective compliance strategies in today’s regulatory environment.

Download a copy of the PowerPoint slides from this session.

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Going Private Transactions

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 27 Sep 2016 20:39:24 +0000

Pepper partner James D. Rosener spoke on a Strafford webinar on “Going Private Transactions: Deal Structure Considerations, SEC Disclosure Obligations, Fiduciary Duties and More.”

Going-private transactions are significantly more challenging than other sale transactions as a result of complex SEC disclosure issues. This recording is a portion of Mr. Rosener’s presentation.

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The Current State of Marketplace Lending and Investing

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 20 Sep 2016 14:13:54 +0000

Recent legal and regulatory developments are affecting the ways that marketplace
lenders and investors do business — and their impact will continue to be felt well into the
future. This is a turbulent time in this developing industry and senior members of Pepper
Hamilton’s Marketplace Lending practice sat down for a podcast to discuss some of the
industry’s most significant issues and their implications leading into the 2016 Marketplace
Lending + Investing Conference.

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Evolution of Blockchain for Investment Management Companies

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 2 Jun 2016 16:42:02 +0000

Pepper partner Gregory J. Nowak was joined for a West LegalEdcenter webinar by fellow Pepper attorneys Joseph C. Guagliardo, partner and chair of the firm's Technology Practice, and Todd R. Kornfeld, to discuss the evolution of blockchain and examine its potential uses in creating a secondary marketplace for peer to peer loans, merchant cash advance and for eliminating the bank payment processing system.

This podcast is a recording of that webinar.

Download a copy of the PowerPoint slides from the session.

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Labor and Employment Issues for Investment Management Companies

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 27 May 2016 19:42:30 +0000

Pepper partner Gregory J. Nowak hosted a webinar for West LegalEdcenter to discuss labor and employment issues for investment management companies and hedge funds.

Mr. Nowak was joined by Pepper partner Richard J. Reibstein as well as Laura Kibbe, Managing Director of Professional Services at RVM Enterprises, Inc.

Topics covered included independent contractor vs. employee status determination issues, what to do when a professional leaves your firm, and uses of the “tracer” analytical tools to protect your company against theft of intellectual property.

This podcast is a recording of that session.

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KIND Litigation – Issues Companie Face When Use "Healthy"

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 4 May 2016 20:14:06 +0000

If you go down the aisle of your neighborhood grocery store, you’ll find the terms “all-natural” or “healthy” emblazoned on a growing number of products—products that often garner higher prices than their competitors. Over the past couple of years, there has been quite a lot of press over litigation facing manufacturers making these claims – from food to beverages and even cosmetics.

One of those companies is KIND.

This podcast with Yvonne McKenzie and Stefan Ellis, members of Pepper’s Food and Beverage team, covers an update of the KIND litigation and discusses issues companies can face when dealing with cases alleging false advertising claims based on “natural” or “healthy” descriptions of their product.

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All the Moving Parts: What Do They Mean For You?

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 7 Apr 2016 13:53:00 +0000

A number of recent developments affecting the marketplace lending industry are raising questions about what the industry will look like in the future and how it will be regulated. Senior members of Pepper Hamilton’s Marketplace Lending practice sat down for a podcast to discuss their views leading into LendIt USA 2016.

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Food Industry Needs to Take Product Safety More Seriously

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Fri, 5 Feb 2016 19:32:33 +0000

There have been a number of examples lately of the U.S. Justice Department investigating and prosecuting the food industry on their product safety measures. The latest examples making headlines include Chipotle Mexican Grill Inc. regarding an E. coli outbreak, Roos Foods regarding a listeria outbreak, and Blue Bell Creameries LP also over a listeria outbreak.

In this podcast, we are joined by two partners from Pepper's Food and Beverage Industry team, Christopher W. Wasson and Yvonne M. McKenzie, to discuss what is going on in the industry.

Topics covered include: can a breakdown in a company’s food safety program lead to exposure in other areas; has there been an increase in DOJ activity around food recalls; what are risks that can be triggered from a food recall and how to mitigate these risks; and what kind of sanctions are being leveled in the industry right now.

(Running Time - 11:34)

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The Rising Co-investment Climate in Private Equity

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Tue, 19 Jan 2016 20:40:57 +0000

In this podcast series we take a look at some of the current legal trends in the marketplace and cover them in five questions for our audience. This edition takes a look at the current climate for co-investment in private equity. Pepper recently commissioned Mergermarket to interview 50 private equity executives from across the United States that have co-invested with an institutional investor within the previous three years.

Joining us for this podcast is Bruce K. Fenton, partner and head of the firm’s Investment Funds Industry Group and Private Equity Practice and Julia D. Corelli, partner and head of the Funds Services practice in addition to being co-chair of the Commercial Department.

The topics covered are: why are private equity groups relying more on co-investments; what are some of the regulatory concerns that PE firms should have with co-investments; what are the benefits of co-investments; based on the study results, what were the deal terms most often included in co-investment transactions and why; and what are some best practices for handling the administration of LP co-investment.

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Review of 2015 SEC and FINRA Enforcement Activity for HFs

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Thu, 7 Jan 2016 15:52:03 +0000

In this podcast, Pepper partner Gregory J. Nowak is joined by fellow partners Jay A. Dubow and Ivan B. Knauer for a comprehensive review of SEC and FINRA enforcement activity for 2015. What can we expect for 2016?

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Issues Affecting Family Offices, Hedge Funds and Private Equ

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 6 Jan 2016 21:09:39 +0000

In this podcast, Pepper partner Gregory J. Nowak is joined by Myles Edwards, General Counsel, Chief Compliance Officer and Chief Operating Officer at Shufro, Rose & Co. and Irshad Karim, General Counsel at Lion Point Capital.

Mr. Nowak leads a discussion on
• fund expenses – recent SEC initiatives
• fund due diligence
• cross trades – what are they and what to look out for?
• the recent FinCen Proposal to extend AML reporting to RIAs and their funds – what does it mean for family offices?
• the outsourced CIO – a megatrend or fad?

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FinCEN’s Proposal to Extend the Anti-money Laundering Regula

nicole.sparkswatts@troutman.com (Troutman Pepper Locke) — Wed, 6 Jan 2016 15:04:22 +0000

In this podcast, Pepper partner Gregory J. Nowak was joined by Pepper partner Timothy R. McTaggart and Walter B. Donaldson, II from the Freeh Group International Solutions (FGIS) to discuss FinCEN’s proposal to extend the anti-money laundering regulations (including the requirement for SAR reporting) to SEC registered investment advisors. These rules are generally applicable now to banks, brokerage houses and other financial institutions.

This session will provide you with a road map for the new FinCEN proposed rule and how you can make a difference in shaping the eventual final rule and its effect on the industry.

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