Comments on: Overview of Investment Advisers Act of 1940 http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 By: Hedge Funds and Insider Trading after Galleon — Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-6929 Hedge Funds and Insider Trading after Galleon — Hedge Fund Law Blog Fri, 29 Jul 2011 21:36:06 +0000 http://www.hedgefundlawblog.com/?p=602#comment-6929 [...] usually addressed in the firm’s compliance policies and procedures.  Indeed, Section 204A of the Investment Adviser Act of 1940 requires SEC registered investment advisers to maintainpolicies and procedures to detect against [...] [...] usually addressed in the firm’s compliance policies and procedures.  Indeed, Section 204A of the Investment Adviser Act of 1940 requires SEC registered investment advisers to maintainpolicies and procedures to detect against [...]

]]> By: Hedge Fund Books and Records Requirement — Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-5456 Hedge Fund Books and Records Requirement — Hedge Fund Law Blog Wed, 22 Sep 2010 21:10:53 +0000 http://www.hedgefundlawblog.com/?p=602#comment-5456 [...] for SEC-registered investment advisors.  Those requirements are laid out in Rule 204-2 under the Investment Advisers Act.  We have provided the full text of the rule [...] [...] for SEC-registered investment advisors.  Those requirements are laid out in Rule 204-2 under the Investment Advisers Act.  We have provided the full text of the rule [...]

]]> By: Important Hedge Fund Articles — Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-5245 Important Hedge Fund Articles — Hedge Fund Law Blog Thu, 26 Aug 2010 21:22:51 +0000 http://www.hedgefundlawblog.com/?p=602#comment-5245 [...] Advisers Act [...] [...] Advisers Act [...]

]]> By: » Books & Records to be kept by Hedge Funds » Hedge Fund Blogs From HedgeCo.Net » Hedge Fund Blog Article & Opinion http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-3440 » Books & Records to be kept by Hedge Funds » Hedge Fund Blogs From HedgeCo.Net » Hedge Fund Blog Article & Opinion Thu, 05 Nov 2009 14:58:19 +0000 http://www.hedgefundlawblog.com/?p=602#comment-3440 [...] by hedge funds, the requirements for investment advisors are laid out in Rule 204-2 under the Investment Advisers Act. Based on this, Accounting and Compliance International has put together a comprehensive document [...] [...] by hedge funds, the requirements for investment advisors are laid out in Rule 204-2 under the Investment Advisers Act. Based on this, Accounting and Compliance International has put together a comprehensive document [...]

]]> By: Hedge Fund Lawyer http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-3177 Hedge Fund Lawyer Sun, 11 Oct 2009 00:00:10 +0000 http://www.hedgefundlawblog.com/?p=602#comment-3177 Rick, There are a number of different ways to structure a forex trading account. Generally it can be through a hedge fund structure or through a separately managed account structure. Either way the manager will need to provide the investor with a disclosure document and some sort of legal contract. The exact documents will be different depending on the structure. Hope this helps. Regards, Bart Mallon Rick,

There are a number of different ways to structure a forex trading account. Generally it can be through a hedge fund structure or through a separately managed account structure. Either way the manager will need to provide the investor with a disclosure document and some sort of legal contract. The exact documents will be different depending on the structure.

Hope this helps.

Regards,
Bart Mallon

]]> By: Rick Owen http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-3153 Rick Owen Fri, 09 Oct 2009 04:03:21 +0000 http://www.hedgefundlawblog.com/?p=602#comment-3153 questions does forex hedge fund rules work the same way as other hedge funds? is it the responsiblity of the investor to understand the fund or is it the responsiblity of the hedge fund manager?Doesoes the hedge fund manager have to sign the agreement? is a power of att needed for trdasing forex? questions does forex hedge fund rules work the same way as other hedge funds? is it the responsiblity of the investor to understand the fund or is it the responsiblity of the hedge fund manager?Doesoes the hedge fund manager have to sign the agreement? is a power of att needed for trdasing forex?

]]> By: Francisco Watkins http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-3008 Francisco Watkins Mon, 21 Sep 2009 00:04:58 +0000 http://www.hedgefundlawblog.com/?p=602#comment-3008 Do you have, or can you please tell me where to find, information on the State of California requirements for registration for independent financial advisors? Regards Do you have, or can you please tell me where to find, information on the State of California requirements for registration for independent financial advisors?
Regards

]]> By: Hedge fund advertising - Can a hedge fund manager run a blog? | Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-972 Hedge fund advertising - Can a hedge fund manager run a blog? | Hedge Fund Law Blog Thu, 20 Nov 2008 19:53:15 +0000 http://www.hedgefundlawblog.com/?p=602#comment-972 [...] Regulation D rules prohibiting general solicitation, (ii) the “no holding out” requirement for investment advisor exemption, and (iii) the anti-fraud rules (no manipulation).  We will examine these issues in turn and then [...] [...] Regulation D rules prohibiting general solicitation, (ii) the “no holding out” requirement for investment advisor exemption, and (iii) the anti-fraud rules (no manipulation).  We will examine these issues in turn and then [...]

]]> By: How to Register as an Investment Advisor | Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-267 How to Register as an Investment Advisor | Hedge Fund Law Blog Mon, 13 Oct 2008 22:43:44 +0000 http://www.hedgefundlawblog.com/?p=602#comment-267 [...] Overview of Investment Advisers Act [...] [...] Overview of Investment Advisers Act [...]

]]> By: Overview of Hedge Fund Investment Advisors | Hedge Fund Law Blog http://www.hedgefundlawblog.com/overview-of-investments-advisers-act-of-1940.html/comment-page-1#comment-264 Overview of Hedge Fund Investment Advisors | Hedge Fund Law Blog Mon, 13 Oct 2008 18:42:28 +0000 http://www.hedgefundlawblog.com/?p=602#comment-264 [...] While all hedge fund managers will fall within the definition of investment advisor, not all hedge fund managers will need to be registered. An investment advisor will need to be registered with the U.S. Securities and Exchange Commission or with the state securities division if the advisor does not fall within an exemption from the registration provisions.  The exemption may be at the federal level, the state level or both.  (Please see this article on the Section 203(b)(3) exemption.) [...] [...] While all hedge fund managers will fall within the definition of investment advisor, not all hedge fund managers will need to be registered. An investment advisor will need to be registered with the U.S. Securities and Exchange Commission or with the state securities division if the advisor does not fall within an exemption from the registration provisions.  The exemption may be at the federal level, the state level or both.  (Please see this article on the Section 203(b)(3) exemption.) [...]

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