California Investment Advisor Annual Compliance Reminder | 2010

February 14, 2010

(www.hedgefundlawblog.com)
State registered investment advisory firms usually have annual compliance requirements.  The following discusses the major issues for investment advisors (both hedge fund and separately managed account managers) who are registered in California.  In general, there is (i) an annual updating requirement and (ii) an annual financial filing requirement.
Annual ADV Updating Amendment
Registered investment advisers will need [...]

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Recent Issues with NFA Annual Questionnaire

February 12, 2010

As we discussed in an earlier post on NFA Annual Questionnaire, NFA Member Firms are required to complete the questionnaire on an annual basis.  The information helps the NFA in a variety of ways and the NFA encourages members to update their questionnaire on a regular basis, although firms are only required to complete it, at [...]

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Conifer Securities Hosts Hedge Fund Panel Discussion on February 11, 2010

February 10, 2010

Panel to Focus on Operational & Fundraising Issues
On Thursday February 11, 2010 Conifer Securities will host a panel discussion at the The City Club of San Francisco starting at 3pm.  For more information, please see the flyer on the Conifer website.  I’ve also posted more information on this event below.  For a listing of other [...]

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NFA Self-Examination Checklist 2010 | FCMs, IBs, CPOs and CTAs

February 8, 2010

Easy Step by Step Guide for NFA Member Firms
NFA Member Firms are all required to complete a yearly self-examination checklist to ensure that the Member Firm is complying with all the NFA Rules (as well as the CFTC Regulations and other applicable laws).  The NFA has provided some resources on their website.  We believe that [...]

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Hedge Fund Events February 2010

February 2, 2010

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list.
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February 1-2

Sponsor: Financial Research Associates
Event: Investment Advisor Compliance and Hedge Fund Regulation and Compliance
Location: New York, NY

February 2

Sponsor: Eze Castle Integration
Event: The Future & Implications of Hedge Fund Regulations
Location: London

February 2

Sponsor: 100 Women [...]

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FLOORED Film Peeks Inside Chicago Trading World

February 1, 2010

Audience Reacts Positively to James Allen Smith’s Documentary on Chicago Floor Trading
On Thursday evening at the Roxie Theatre in San Francisco, the professional women’s organization 100 Women in Hedge Funds sponsored the showing of Floored, a documentary by ex-floor trader James Allen Smith that offers a peek inside the lives, successes, and struggles of former traders [...]

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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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