Below is an article I wrote about how the managed futures industry is likely to react after the MF Global bankruptcy. I originally began drafting the article at the end of 2011 and finished it in the first week of January 2012.  As we have already seen, the industry is [...]

Trading Program Performance Presentation FAQs Managers registered with the CFTC as either CTAs or CPOs are required to file a disclosure document with the NFA for review by the NFA prior to using the documents to solicit clients/investors.  The disclosure documents are required to conform with certain NFA rules.  The [...]

Below is a press release on the investment adviser registration presentation we developed to help fund managers with the SEC registration requirements. **** Investment Adviser Registration Presentation for Fund Managers Released by Cole-Frieman & Mallon LLP March 30, 2012 Deadline for SEC Registration Approaches SAN FRANCISCO, CA – January 25, 2012 [...]

Three days ago, reports came out that the CFTC could be putting to a private vote the requirement that managed futures mutual funds be subject to marketing and registration rules when they use derivatives tied to commodities, which include commodity futures, options and swaps.  According to individuals who spoke on [...]

January 25th  This is the second biggest event of the year for the hedge fund industry in San Francisco.  Ticket information is below and we all look forward to seeing you there. **** California Hedge Funds to Support Child Abuse Prevention at 2nd Annual West Coast Committee of Hope Poker [...]

Hedge Fund Managers Exempt from Registration in California As a general proposition, managers who are located in California must register as an investment adviser if they are providing investment advice for compensation.  There are exemptions from the registration requirement which we have detailed previously.  Because of the changes in the [...]

Below is information on a 100 Women in Hedge Funds event in San Francisco later this month. **** Underfunded and Over-solicited: How to Stand Apart to Attract ERISA Plan Assets January 31, 2012 at 6 PM San Francisco CA Due to recent underperformance, many corporate and government pension fund managers [...]

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. **** January 10 – 11 Sponsor: HFBOA Event: Optimizing Hedge Fund Business Operations Location: New York, NY January 10 – 12 Sponsor: Opal Financial Group [...]

www.colefrieman.com Clients, Friends, Associates: Although we are late in publishing this year-end planning memo, we believe it may still be helpful for managers on this last day of 2011 and into the new year.  In addition to all of the administrative details involved in closing out the year, the regulatory landscape [...]

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: [...]