From the category archives:

News and Commentary

Mallon P.C. Quarterly Newsletter | 2nd Quarter 2010

August 2, 2010

Below is our quarterly newsletter.  If you would like to be added to our distribution list, please contact us. **** July 31, 2010 www.mallonpc.com Clients and Friends, We take this opportunity to provide you with a brief overview of the major items we have reported on over the last quarter.  While we are a little late [...]

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Survey of State Securities Divisions

July 6, 2010

Are States Equipped to Handle Increased IA Registrations? Under the new financial reform bill, expected to be signed into law sometime in July 2010, the state securities divisions will play a larger role in the oversight of investment managers.  Under the current system, investment advisers (who generally provide financial planning services or investment advice to individuals) with [...]

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Hedge Fund Law Blog Notes For Week

May 28, 2010

Adviser Registration, Accredited Investors, Carried Interest, Insider Trading, Cap and Trade Below are some thoughts on some of the major issues over the last couple of weeks. Have a great Memorial Day Weekend! **** Hedge Fund Regulation and Registration – While the Private Fund Investment Advisers Registration Act of 2010 was passed this month in [...]

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Cleantech: A Viable Option for Hedge Funds and Investors?

March 29, 2010

By Bart Mallon (www.mallonpc.com) 100 Women in Hedge Funds Hosts Panel of Cleantech Industry Professionals to Discuss the Future of Cleantech Investments On March 24, 2010, 100 Women in Hedge Funds, a global association of investment management professionals, presented “Is the Grass Really Greener? The Case for Investing in Cleantech”, a networking and educational event [...]

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Securities Exam Changes in 2010

February 15, 2010

Series 63, Series 65 and Series 66 Changed as of January 1, 2010 In an earlier post, we discussed that the passing grades for the Series 65 and 66 have increased.  Below is further information from the Securities Training Corporation on the changes to the securities exams in 2010. **** The Series 63, 65, and [...]

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Fund Appreciation Rights

December 6, 2009

Alternative Hedge Fund Compensation Structure At the very beginning of this year there was much discussion about the hedge fund compensation structure in light of the horrible returns from 2008.  Many funds lost money but managers aren’t typically subject to the same types of clawback provisions as private equity fund managers.  Additionally some funds had [...]

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Weekly Hedge Fund News Stories | November 30 – December 4

December 5, 2009

Below are a list of some of the news stories which caught my attention this week. **** Hedge Fund Carried Interest Tax “Loophole” Repeal? – the hedge fund carried interest “loophole” is again being discussed as a potential issue to be addressed by Congress before the end of the year.  One proposal introduced by Representative [...]

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Hedge Funds, the Secondary Market and PTP Issues

December 4, 2009

Secondary Hedge Fund Market Poses Issues for Fund Managers Recently there have been a number of groups springing up to provide a secondary hedge fund market.  While such platforms provide investors with a potential avenue to get out of their illiquid investment (the investment in the fund may be illiquid for a number of reasons [...]

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Series 65 and Series 66 Passing Grade Increased

November 27, 2009

IA Exams Pass Rates Expected to Plummet The North American Securities Administrators Association (“NASAA”) recently announced that the two central investment advisor exams (the Series 65 and the Series 66) will become even more difficult.  Starting January 1, 2010 candidates will need to attain a score of 72% in order to pass the Series 65 [...]

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Job Applicant – Fund Accounting and Portfolio Analysis

November 25, 2009

Normally I do not use this blog as an area to advertise job openings or the resume’s of prospective job applicants, but I wanted to make an exception for a good friend of mine.  If you know of any career opportunities in portfolio analysis or fund accounting, please let me know.  The following is information [...]

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