San Francisco Futures Professionals March Meeting | March 16, 2010

March 12, 2010

NFA Regulations and Capital Raising on Agenda
The San Francisco Futures Professionals Group (LinkedIn Group) will be meeting next week to discuss the most recent NFA Regulatory Seminar.  Bart Mallon of Mallon P.C. will be providing an overview of the major regulatory items discussed at the seminar including the new NFA rule on social media, issues [...]

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Hedge Fund Databases | Survey of Databases

March 8, 2010

Hedge fund databases are online databases that collect and publish information and performance results from hedge fund managers who list their fund.  Usually these databases are open to accredited investors who subscribe to the website.
Aside from providing basic information on the hedge fund, including the name of the fund, the manager, and contact information, the [...]

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Hedge Fund Events March 2010

March 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.
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March 1-3

Sponsor: IMN
Event: Distressed Investment Summit
Location: Huntington Beach, CA

March 2

Sponsor: 100 Women in Hedge Funds
Event: Christy Romero, Chief of Staff, Office of the Special Inspector General - TARP
Location: Washington, D.C.

March 2

Sponsor: [...]

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NFA CPO & CTA Regulatory and Compliance Seminar

February 28, 2010

NFA to Talk Directly to Futures & Commodities Community
On Tuesday March 2 the National Futures Association (”NFA”) is hosting a regulatory seminar for members of the commodity and futures markets.  The seminar will focus on a number of important issues including the following:

Overview and Discussion of Regulatory Changes
Disclosure Document and Performance Reporting
Financial Reporting for Commodity [...]

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New Forex Regulations: Overview of Public Comments

February 23, 2010

Leverage, Inaccessibility for Smaller Traders, and Offshore Threat are Focus of Public Comments
As we’ve discussed in related posts, the CFTC has proposed rules regulating the off-exchange spot forex industry (see Retail FOREX Registration Regulations Proposed).  The CFTC has requested comments from the public and there are currently about 100 public comments on CFTC’s website written in response [...]

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CPO Annual Financial Report Filing

February 16, 2010

Information on Filing Annual Report with NFA
Commodity Pool Operators (”CPOs”) are required to distribute an Annual Report, certified by an independent public accountant, to each participant in each pool it operates (i.e. the investors in the commodity/futures hedge fund) within 90 days after the pool’s fiscal year-end (normally December 31).  CPOs are also required under the [...]

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Securities Exam Changes in 2010

February 15, 2010

Series 63, Series 65 and Series 66 Changed as of January 1, 2010
In an earlier post, we discussed that the passing grades for the Series 65 and 66 have increased.  Below is further information from the Securities Training Corporation on the changes to the securities exams in 2010.
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The Series 63, 65, and 66 Examinations Are [...]

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California Investment Advisor Annual Compliance Reminder | 2010

February 14, 2010

(www.hedgefundlawblog.com)
State registered investment advisory firms usually have annual compliance requirements.  The following discusses the major issues for investment advisors (both hedge fund and separately managed account managers) who are registered in California.  In general, there is (i) an annual updating requirement and (ii) an annual financial filing requirement.
Annual ADV Updating Amendment
Registered investment advisers will need [...]

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Recent Issues with NFA Annual Questionnaire

February 12, 2010

As we discussed in an earlier post on NFA Annual Questionnaire, NFA Member Firms are required to complete the questionnaire on an annual basis.  The information helps the NFA in a variety of ways and the NFA encourages members to update their questionnaire on a regular basis, although firms are only required to complete it, at [...]

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Conifer Securities Hosts Hedge Fund Panel Discussion on February 11, 2010

February 10, 2010

Panel to Focus on Operational & Fundraising Issues
On Thursday February 11, 2010 Conifer Securities will host a panel discussion at the The City Club of San Francisco starting at 3pm.  For more information, please see the flyer on the Conifer website.  I’ve also posted more information on this event below.  For a listing of other [...]

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