From the monthly archives:

November 2008

Hedge Fund Consultant

November 26, 2008

Hedge fund consultants are individuals or firms that provide a variety of different services to hedge funds and hedge fund managers.  These individuals or firms typically have significant industry expertise and a strong network within the investment management industry.  These groups also tend to have a strong working knowledge of the mechanics of the hedge [...]

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Hedge Fund Structure – Hedge Fund Organizational Chart

November 24, 2008

A common issue which often arises is exact manner in which the investors actually subscribe to the fund and how the fund actually invests the money.  The attached chart (Hedge Fund Organizational Chart) provides a typical hedge fund organizational structure.  The chart also details the movement of the management fee, the performance fee, the movements [...]

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Withdrawing from Investment Advisor Registration – the Form ADV-W

November 24, 2008

For many different reasons a hedge fund manager will decide to de-register as an investment advisor.  The manager may no longer be required to be registered or a manager may have registered simply for marketing purposes and has found that it is too much of a hassle (and cost) to be registered.   In such instances [...]

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Investment Advisor Fraud

November 21, 2008

In addition to fraud in the hedge fund space, investors need to be aware of fraud with strictly investment advisory firms.  This notice and the complaint below provide more information on a specific investment advisory firm fraud.

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Recommended Hedge Fund Articles for Start-up Hedge Fund Managers

November 21, 2008

Last week we posted our most popular hedge fund articles to date.  This week we are providing start up hedge fund managers with a “hedge fund manager start up guide” which consists of the most important articles for start-up (and existing) hedge fund managers.  The following article provide you with the background information you need [...]

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Hedge Fund Service Providers Overview

November 21, 2008

The hedge fund industry includes not only the hedge fund managers and the investors, but also the service providers which help the hedge fund and the manager with the day to day duties associated with running a hedge fund.
The industry has grown rapidly over the last decade and continues to develop at an ever rapid [...]

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Paulson to Hedge Funds: Time for Hedge Fund Registration

November 20, 2008

Treasury Secretary Paulson spoke today about new financial market regulations.  In his remarks he mentioned that there should be some new hedge fund regulations which allow oversight by a market regulator. I have posted an excerpt containing the comment as well as the whole speech.

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Hedge fund advertising - Can a hedge fund manager run a blog?

November 20, 2008

Blogs have become important tools in the investment management industry and have allowed even the most unsophisticated computer user (ahem….hedgefundlawblog….) to post useful thoughts and information for other industry participants to examine and opine upon.
Some hedge fund managers may want to use the internet and blogs to vet ideas or to discuss certain parts of [...]

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California Investment Advisor Exemption for Certain Hedge Fund Managers

November 20, 2008

In the article Connecticut Hedge Fund Registration Exemption, we discussed that certain states like Connecticut provide administrative orders allowing hedge fund managers an exemption from the registration provisions under certain circumstances.
Similarly certain states have provided a similar exemption to hedge fund managers through the securities commission rule making process.  For example, California Rule 260.204.9 provides [...]

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Hedge Fund Soft Dollars - Permitted Soft Dollar Practices

November 20, 2008

This memorandum contains information regarding eligible and ineligible uses of soft dollars within the safe harbor found under Section 28(e) of the Securities Exchange Act of 1934.  This memo is structured in three parts: (i) discusses, generally, the eligibility of research services; (ii) discusses, generally, the eligibility of brokerage activities; and (iii) discusses, generally, mixed-use [...]

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