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Hedge Fund Events September 2010

September 1, 2010

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** September 1-2 Sponsor: World Business Research Event: Trading Architecture Asia 2010 Location: Hong Kong September 7-8 Sponsor: IQPC Event: 7th Annual Nordic Investors Forum 2010 Location: Stockholm, Sweden September [...]

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NFA Provides Guidance on Forex Registration Requirements

September 1, 2010

Bart Mallon, Esq. – Mallon P.C. (www.forexregistration.com) NFA Releases Notice Regarding Forex Registration As we discussed in our post yesterday about outstanding issues with retail forex regulations, the NFA posted guidance regarding the final retail forex regulations passed by the CFTC earlier this week.  In general, the notice answers a few of the questions regarding [...]

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Clarification on CFTC Final Retail Forex Regulations Forthcoming

September 1, 2010

Bart Mallon, Esq. (www.forexregistration.com) NFA to Issue Guidance on Regulations Now that the CFTC has finalized the retail Forex regulations the Forex community will now set forth to figure out exactly what will be happening next.  Today I called the NFA to get clarification on a couple of items with respect to the new regulations [...]

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Commissioner Chilton Speaks on Retail Forex Regulations

August 31, 2010

The CFTC just released a statement by Commissioner Chilton regarding the new retail Forex regulations.  The full statement is reprinted below and can also be found here. **** “Rules to Rein in a Racket” Statement by Commissioner Bart Chilton on the Release of New Retail Forex Rules In recent years, mini-Madoff ponzi scams have proliferated, [...]

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CFTC Releases Final Retail Forex Rules

August 30, 2010

New Regulations Effective as of October 18, 2010 The final retail Forex regulations (which requires registration for forex CTAs, CPOs and IBs) have been published in the Federal Register.  The final regulations will be effective as of October 18, 2010.  The regulations were adopted essentially as written with the execption of two major issues: Leverage [...]

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Business Continuity Plans (Disaster Recovery Plans) | Investment Adviser Registration

August 24, 2010

The following post is part of our hedge fund compliance guide for managers who will be required to register as investment advisers with the SEC.  After the Dodd-Frank bill, managers with either $1ooM of AUM (if managing a fund and separate accounts) or $150M of AUM (if managing a fund only) will be required to [...]

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Exemptive Relief from CPO Annual Audit Requirement

August 23, 2010

Managers starting a commodity fund at the end of the year may seek relief from annual audit requirement CFTC Regulations 4.22(c) and (d) require that each registered CPO file a certified annual report with the CFTC and distribute copies to pool participants within 90 calendar days after the pool’s fiscal year (“audit requirement”).  The principal [...]

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Important Hedge Fund Articles

August 21, 2010

As of the date we published this list of important hedge fund articles, the Hedge Fund Law Blog has over 600 posts.  In order to highlight some of the more important items on this website we have created the following list of articles which we think will be useful for most of our readers.  Articles [...]

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Litigation Statement for CTA and CPO Disclosure Documents

August 20, 2010

One of the more important requirements with respect to drafting the CTA and CPO Disclosure Documents is making sure that all appropriate litigation statements are included in the documents.  Under CFTC Regulations 4.24 (CPOs) and 4.34 (CTAs) the manager is required to disclose the litigation history of: (i) the management company, (ii) principals of the [...]

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Bart Mallon Quoted in Wall Street Journal on Hedge Fund Registration

August 19, 2010

(www.hedgefundlawblog.com) In an article published today in the Wall Street Journal, Bart Mallon of Mallon P.C. was quoted discussing the current and future role of the state securities divisions with respect to hedge funds.  After the implementation of the new SEC registration thresholds under Dodd-Frank, previously SEC registered hedge fund managers will be required to [...]

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