From the category archives:

Business Issues

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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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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Wall Street Reform Bill Issues – Performance of State Securities Regulators

July 5, 2010

As we move closer to the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act, more groups are highlighting the fact that state securities divisions are going to be affected by the act.  After pressure from NASAA, the association of state securities regulators, Congress has provided that state regulators will be required to [...]

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Positive 2010 Outlook for Investors and Hedge Funds

June 10, 2010

In March, Deutsche Bank’s Hedge Fund Capital Group presented a closer look at the current status of the hedge fund industry in its “2010 Alternative Investment Survey” report (see press release).  The report focuses on responses from 606 investors.  42% of the respondents were Fund of Funds, 21% were asset management companies, 12% were family [...]

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Audit Issues from Due Diligence Provider

June 8, 2010

The following article is written by Chris Addy, president and CEO of Castle Hall Alternatives which is a hedge fund due diligence firm. For funds raising assets from institutional investors, the due diligence process will be quite familiar and Chris describes some of the frustrations from the investor/due diligence standpoint.  I would imagine that these issues will [...]

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State Budget Shortfalls and Investment Adviser Registration

June 3, 2010

Financial Reform Bill May Devastate Overburdened State Securities Divisions As many states are facing huge budget shortfalls, government services have been cutback and certain states have furloughed workers in certain divisions. In a number of states (including California) these budget cuts have affected the state securities divisions and accordingly the many state securities divisions are [...]

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UCITS Hedge Funds

May 13, 2010

Overview of UCITS Hedge Funds Bryan Goh of the blog Ten Seconds Into The Future has let us repost his article on UCITS hedge funds.  We have posted a number of articles from Bryan, see end of post, and believe that he has some great industry insight (see especially here and here). **** What are [...]

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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, [...]

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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 [...]

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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 [...]

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