From the monthly archives:

January 2009

Hedge Fund Registration Bill Announced

January 29, 2009

Senators Grassley and Levin Introduced Bill Requiring Hedge Fund Registration
A new bill called the Hedge Fund Transparency Act was introduced today by Senators Chuck Grassley and Carl Levin.  A press release from Grassley’s website explains the bill.
More to be forthcoming…
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For Immediate Release
January 29, 2009
Grassley and Levin introduce hedge fund transparency bill
WASHINGTON – Senators Chuck [...]

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Hedge Fund Tearsheets

January 29, 2009

Marketing Your Fund with a One-Pager
In addition to hedge fund pitchbooks, Managers will market their hedge funds through one page tearsheets.  Hedge fund tearsheets are basically a snapshot of a hedge fund’s performance over time, as of a certain date.   There are a growing number of companies out there which will produce tearsheets for managers, [...]

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Hedge Funds and OTC Products

January 28, 2009

Some hedge funds use OTC products as part of their main investment strategy, or as a supplement to their main strategy.  In either event, there are a number of issues which hedge fund managers should consider when they decide to utilize OTC products within an investment strategy.  First and foremost, the OTC investment strategy should [...]

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Professor Coffee Testimony at Senate Madoff Hearing

January 28, 2009

Yesterday the Senate Banking Committee held a hearing on the Madoff scandal.  Those present included: Senator Christopher J. Dodd; Professor John C. Coffee, Adolf A. Berle Professor of Law, Columbia University Law School; Dr. Henry A. Backe, Orthopedic Surgeon; Ms. Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission; Ms. [...]

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Thomsen Testimony at Senate Madoff Hearing

January 28, 2009

Yesterday the Senate Banking Committee held a hearing on the Madoff scandal.  Those present included: Senator Christopher J. Dodd; Professor John C. Coffee, Adolf A. Berle Professor of Law, Columbia University Law School; Dr. Henry A. Backe, Orthopedic Surgeon; Ms. Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission; Ms. [...]

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Richards Testimony at Senate Madoff Hearing

January 28, 2009

Yesterday the Senate Banking Committee held a hearing on the Madoff scandal.  Those present included: Senator Christopher J. Dodd; Professor John C. Coffee, Adolf A. Berle Professor of Law, Columbia University Law School; Dr. Henry A. Backe, Orthopedic Surgeon; Ms. Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission; Ms. [...]

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Hedge Fund Registration Becoming More Likely

January 27, 2009

SEC Commissioner Calls for Hedge Fund Registration in Two Recent Speeches
In two separate speeches this year SEC Commissioner Luis A. Aguilar has called for hedge fund registration.  Commissioner Aguilar, appointed to the Commission last year, asked Congress to pass legislation amending the Investment Advisors Act to give the SEC authority to regulate hedge funds or [...]

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CPO Annual Report Guidance

January 27, 2009

CFTC Release Provides Guidance on Annual Report Requirements
CFTC Rule 4.22(c) requires commodity pool operators to provide each investor in the commodity pool with certain information on an annual basis.  These Annual Reports must be provided to investors (generally in hard copy) within 90 days of the end of the CPO’s fiscal year (generally the calendar [...]

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FINRA to Regulate Member’s Retail Forex Activities

January 27, 2009

Comments on Proposed Retail Forex Rules Sought
The Finanacial Industry Regulatory Authority (FINRA) requested comments on a proposed rule to limit the leverage available to retail investors trading in the off-exchange foreign currency (forex) markets.  The proposed rule would be applicable to FINRA member firms and would limit leverage in forex transactions to 1.5 to 1.  [...]

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Hedge Fund Job Opportunity - Marketer Wanted

January 26, 2009

I received an inquiry from a recruiter who is looking for a hedge fund marketer.  Here it is:
I am a recruiter that usually doesn’t enter into this area of expertise.  However, I do have a very hot opportunity for a Hedge Fund Marketer in the South West.  Would love to hear from anyone qualified, licensed [...]

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