From the monthly archives:

January 2010

CFTC Provides Annual Guidance to CPOs

January 28, 2010

Annual Report Guidance for Commodity Pool Operators
In a recent release, which we have reprinted in full below, the CFTC reminds CPOs of their annual reporting requirements under Regulation 4.22.  The release includes a link to the 2010 CPO Annual Guidance Letter.  In general the letter provides another reminder to CPOs to file their annual reports [...]

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CTA and CPO Foreign Language Disclosure Documents

January 20, 2010

Translating a Disclosure Document to Another Language is Fine
NFA Member Firms are required to have their disclosure documents reviewed by the NFA generally before such firms can distribute the documents to potential investors.  One issue which sometimes arises is when the firm (generally either a CTA or CPO) has potential clients/investors who are non-U.S. citizens [...]

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Hedge Fund Marketing - Building a Strong Brand Identity

January 18, 2010

Importance of Brand Identity Emphasized in Recent White Paper
There has been a clear trend over the last 12-18 months for hedge funds to focus on a number of operational issues in order to become more attractive to institutional investors.  While much of focus has been on the risk management side, I have seen more recent [...]

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Eligible Contract Participant (ECP) Definition

January 15, 2010

The term “eligible contract participant” is important with regard to managers who provide advice on futures and commodities investments (including off-exchange spot foreign currency or “forex”).  In general there are exemptions from various CTA, CPO and IB registration provisions for those managers who only provide advisory services to those clients who fall within the definition [...]

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Retail FOREX Registration Regulations Proposed

January 14, 2010

Forex Managers Required to be Registered Under New Regulations
The much anticipated off-exchange retail foreign currency regulations were proposed today by the CFTC.  The release announcing the publication in the Federal Register is reprinted below and can be found here.  We will be providing an overview of the major provisions shortly.
The full proposed rules are posted [...]

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SF Hedge Fund Networking Event Today

January 13, 2010

Please join us at the Hyatt today from 2pm to 5pm.
Bart Mallon, Esq. of runs the Hedge Fund Law Blog and provides hedge fund manager registration service through Mallon P.C. He can be reached directly at 415-868-5345.

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NFA Provides Social Networking Compliance Guidance

January 12, 2010

Member Firms Subject to Increased Oversight & Compliance Responsibilities
In early December the National Futures Association (“NFA”) submitted two proposed amendments proposed amendments to the Commodity Futures Trading Commission (“CFTC”) regarding NFA Member Firms and their use of the internet and social media networks.  The amendments focus on communications by firms over the internet in various [...]

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NFA Annual Questionnaire

January 11, 2010

Reminder to NFA Member Firms
As part of the annual processes and procedures NFA Members will need to make sure that they complete the NFA Annual Questionnaire.  As discussed below in the NFA’s most recent notice to members, it is important that NFA Members complete the questionnaire because some of the answers will appear as BASIC [...]

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FLOORED Screening in San Francisco | 100 Women in Hedge Funds

January 8, 2010

Movie on Traders to be Screened in San Francisco
On January 28 the San Francisco investment management community will come together to watch the movie “FLOORED” which documents the issues facing floor traders as the industry continues its march away from traditional floor trading.  Please see the release below for more information.
Additionally, on an unrelated note, [...]

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Hedge Fund Events January 2010

January 5, 2010

The following are various hedge fund events happening this month, including a networking event co-sponsored by Mallon P.C. in San Francisco on January 13.  Please email us if you would like us to add your event to this list.
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January 6-8

Sponsor: Opal Financial Group
Event: Public Funds Summit
Location: Scottsdale, AZ

January 11-13

Sponsor: Infocast, Inc.
Event: Projects & Money 2010
Location: [...]

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