From the category archives:

new hedge fund regulations

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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Update on H.R. 3818 | Hedge Fund Registration Bill

October 30, 2009

As has been reported by a number of groups the Private Fund Investment Advisors Act of 2009 was approved by the House Financial Services Committee by a vote of 67-1.  The proposed bill underwent a number of significant changes during the committee meeting.  The attached document shows (in redline format) the changes which were made [...]

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House Committee Votes for Hedge Fund Registration

October 27, 2009

Bart Mallon, Esq. (http://www.hedgefundlawblog.com)
Private Equity Funds Not Excluded
Today the House Financial Services Committee voted to require hedge fund managers to register with the Securities and Exchange Commission.  While private equity firms are also required to register under the proposed bill, managers to venture capital funds are excluded from this registration requirement.
The bill will next be [...]

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H.R. 3818 | Hedge Fund Registration

October 27, 2009

Bart Mallon, Esq. (http://www.hedgefundlawblog.com)
Private Fund Investment Advisers Registration Act of 2009 (text of act)
Below is the final text of the hedge fund registration bill as passed by the House Financial Services Commission.
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111th CONGRESS
1st Session
H. R. 3818
To amend the Investment Advisers Act of 1940 to require advisers of certain unregistered investment companies to register with and [...]

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Proposition Q and Hedge Funds

October 26, 2009

San Francisco Tax Law Could Affect Hedge Fund Managers
A little known tax law which was passed last year by San Francisco voters may create some harsh consequences for hedge fund managers based in The City by the Bay.  The following article was contributed by Karl Cole-Frieman of Cole-Frieman & Beugelmans.
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San Francisco’s Proposition Q and its [...]

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CFTC Head Addresses Futures Industry in Chicago

October 21, 2009

Futures Industry Association Annual Expo
CFTC Chairman Gary Gensler today spoke at the Futures Industry Association’s annual expo in Chicago. While most of the Chairman’s speech  focused on the proposed regulation of the OTC derivatives markets, Chairman Gensler also discussed the recent SEC and CFTC Harmonization report. As you can imagine, Gensler [...]

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OTC Derivatives Markets Act of 2009 Passes House Committee Vote

October 15, 2009

CFTC Chairman Gensler Applauds “Historic Progress”
In a first step towards increased regulation of the over-the-counter derivatives markets, the House Financial Services Committee approved the Over-the-Counter Derivatives Markets Act of 2009.  The act is one of several initiatives to increase regulatory oversight of the financial markets and if passed by Congress would be signed into law [...]

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Hedge Fund Regulation IT Solutions

October 12, 2009

Technology Solutions for Registered Hedge Fund Managers
http://www.hedgefundlawblog.com
It is the final quarter of this year’s political season and it has become clear that the earlier clamor for hedge fund registration has been overshadowed by larger political issues - namely health care legislation and the cap and trade bill.  Recent events, however, have shown that the registration [...]

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Proposed Hedge Fund Registration Bill Now Excludes VC Funds

October 5, 2009

Venture Capital Funds May Not Have to Register with Hedge Funds
While hedge funds have reluctantly resigned to the likely fate of SEC registration (see MFA Supports Registration), the venture capital community has been fighting hard to remain unregistered.  On this front, the VC community enjoyed a victory last week as Congressman Paul E. Kanjorski (D-PA) [...]

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IA Compliance Fall Conference 2009

September 21, 2009

Over the past few months I have written extensively about the new regulatory environment and the likelihood that many hedge fund managers will need to register with the SEC within the next year or so (assuming that Congress passes one of many proposed registration bills).  Anticipating this requirement, my team and I at Mallon P.C. [...]

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