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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 600 14TH STREET, N.W. |
Address2 | Suite 900 |
City | WASHINGTON |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 313010-12
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6. House ID# 387600000
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TYPE OF REPORT | 8. Year | 2014 |
Q1 (1/1 - 3/31) | Q2 (4/1 - 6/30) | Q3 (7/1 - 9/30) | Q4 (10/1 - 12/31) |
9. Check if this filing amends a previously filed version of this report
10. Check if this is a Termination Report | Termination Date | |
11. No Lobbying Issue Activity |
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
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12. Lobbying | 13. Organizations | ||||||||
INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
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Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). | 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options. | ||||||||
Method A.
Reporting amounts using LDA definitions only
Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code Method C. Reporting amounts under section 162(e) of the Internal Revenue Code |
Signature | Digitally Signed By: Marc T. Charon, Executive Vice President and Managing Director, COO |
Date | 07/21/2014 |
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code FIN
16. Specific lobbying issues
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments.
Legislative oversight of implementation of Titles I, II, IV, VII, and IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Legislative oversight of implementation of the Jumpstart Our Business Startups Act of 2012.
Regulation and oversight of investment advisers.
Financial services regulatory reform in non-U.S. jurisdictions.
Equity market structure issues including electronic trading, algorithmic trading, and high frequency trading.
Oversight of regulatory proposals on repo and securities lending markets.
H.R. 3448 -- To amend the Securities Exchange Act of 1934 to provide for an optional pilot program allowing certain emerging growth companies to the increase tick size of their stocks.
H.R. 4570 -- To direct the Securities and Exchange Commission to revise Regulation D relating to exemptions from registration requirements for certain sales of securities.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Treasury - Dept of
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Richard |
Baker |
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Roger |
Hollingsworth |
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Benjamin |
Allensworth |
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David |
Landers |
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Louis |
Costantino |
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Sarah |
Morgan |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code TAX
16. Specific lobbying issues
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation, regulatory measures, and Congressional studies on tax reform issues affecting hedge funds and other alternative investments, including: enterprise value, carried interest, and pass-through entities.
Regulation of passive investment in U.S. securities and other assets by non-U.S. investors.
Tax reform in non-U.S. jurisdictions.
Pending legislation on international tax reform.
Pending Tax Reform Legislation:
Tax Reform Act of 2013, Titles II, IV
Tax Reform Act of 2014
Management and Control
Unrelated Business Income Tax (UBIT)
H.R.1579 -- Inclusive Prosperity Act of 2013 - to impose a tax on certain trading transactions to strengthen our financial security, reduce market volatility, expand opportunity, and stop shrinking the middle class.
Legislative oversight of implementation of rules under 871(m) of the Tax Code.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of,
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Richard |
Baker |
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Roger |
Hollingsworth |
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Sarah |
Morgan |
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Louis |
Costantino |
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David |
Landers |
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Benjamin |
Allensworth |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code AGR
16. Specific lobbying issues
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation and regulatory measures and Congressional studies affecting hedge funds and other alternative investments.
Legislative oversight of implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Commodities and derivatives regulatory reform in non-U.S. jurisdictions.
Commodity Exchange Act Reauthorization issues, including:
-Protection of Customer Collateral
-Oversight of Commodity Pool Operators
-Protections for Sensitive and Proprietary Data
-Position Limits
-International Coordination
-CFTC/SEC Coordination of CTA, CPO Oversight and Data Collection
H.R. 4392 -- Energize Emerging Opportunities Act - To align exemptions for general solicitation of investment in commodity pools similar to the exemption provided for general solicitation of securities under the Jumpstart Our Business Startups Act.
H.R. 1256 -- Swap Jurisdiction Certainty Act - To direct the Securities and Exchange Commission and the Commodity Futures Trading Commission to jointly adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps that were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
H.R. 4413 -- CFTC Reauthorization
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Treasury - Dept of
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Richard |
Baker |
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Benjamin |
Allensworth |
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Roger |
Hollingsworth |
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Sarah |
Morgan |
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Louis |
Costantino |
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David |
Landers |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Information Update Page - Complete ONLY where registration information has changed.
20. Client new address
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21. Client new principal place of business (if different than line 20)
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22. New General description of client’s business or activities
LOBBYIST UPDATE
23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client
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ISSUE UPDATE
24. General lobbying issue that no longer pertains
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name | Address |
Principal Place of Business (city and state or country) |
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
1 | 2 | 3 |
FOREIGN ENTITIES
27. Add the following foreign entities:
Name | Address |
Principal place of business (city and state or country) |
Amount of contribution for lobbying activities | Ownership percentage in client | ||||||||||
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% |
28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization
1 | 3 | 5 |
2 | 4 | 6 |