The following are various hedge fund events happening this month. Please contact us if you would like us to add your event to this list. **** December 1 Sponsor: Bloomberg LINK Event: Bloomberg Hedge Funds Summit Location: New York, NY December 1 Sponsor: Infovest 21 Event: Investor Morning Seminar/Breakfast Location: [...]

The Growing Demand for Registered Funds The opportunities for hedge fund managers to grow assets under management continue to expand as pension fund, endowment, foundation, insurance and individual investors increase their allocation to alternative investments. To meet investor demand for absolute returns and diversification, as well as greater liquidity and [...]

On December 1st and 2nd Private Equity International (PEI) will be hosting a Fund Compliance Forum in San Francisco.   The forum will be focused on providing private equity firms with information on various Dodd-Frank compliance requirements, including the investment adviser registration requirement.  Karl Cole-Frieman, a partner with Cole-Frieman & [...]

The National Introducing Brokers Association (NIBA) has started a petition asking the judge in the MF Global bankruptcy proceeding to release customer segregated funds.  Below we have provided the full text of the petition which members of the community can sign by going here.  It is unclear how this would work [...]

New Questions Added to Form ADV Part 1 The SEC has released a new Form ADV Part 1a which includes a number of additions as described in greater depth below.  Please also see the the paper version of the new Form ADV Part 1 which is currently effective. Since enactment of the Dodd-Frank [...]

SEC v. Andrey C. Hicks and Locust Offshore Management, LLC Marketing, of course, is an issue close to the heart of every hedge fund manager. You spend so much time and effort making your pitchbook and other materials exactly right in terms of strategy, investment process and all the details [...]

If your firm is registered as an investment adviser (IA) then you may have received notice from FINRA to renew your firm’s registration for 2012. If you have not received the notice or have not paid the renewal fees, the following provides an overview of the process. Background IA firms [...]

Quarterly CPO Filing Due by November 14 For those commodity pool operators who are registered with the NFA, there is a quarterly reporting requirement under Rule 2-46.  This filing must be submitted to the NFA by November 14 through the NFA’s EasyFile system.  Today the NFA sent the following reminder [...]

SIPC Does Not Cover Futures Accounts at MF Global The MF Global bankruptcy is creating a number of problems for managers with accounts at the firm. One question we have received from some managers is whether their client accounts are insured either through the Securities Investor Protection Corporation (“SIPC”) or [...]

CPOs Must Provide Information to Fund Investors Below is guidance just provided by the NFA regarding MF Global.  Commodity Pool Operators must provide investors with a disclosure regarding the fund’s assets held at MF Global.  Additionally, if the CPO is soliciting new investors for the fund, the CPO will need [...]