Posts tagged as:

hedge fund compliance

Hedge Funds and Insider Trading after Galleon

November 15, 2009

By Bart Mallon, Esq. (www.mallonpc.com)

High Profile Case Highlights Issues for Hedge Fund Managers to Consider
Insider trading is now an operational issue for hedge fund managers.  The high profile insider trading case involving RR and the Galleon hedge fund has put the spotlight directly on hedge funds again and has also sparked a debate of sorts [...]

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Hedge Fund Regulation IT Solutions

October 12, 2009

Technology Solutions for Registered Hedge Fund Managers
http://www.hedgefundlawblog.com
It is the final quarter of this year’s political season and it has become clear that the earlier clamor for hedge fund registration has been overshadowed by larger political issues - namely health care legislation and the cap and trade bill.  Recent events, however, have shown that the registration [...]

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IA Compliance Fall Conference 2009

September 21, 2009

Over the past few months I have written extensively about the new regulatory environment and the likelihood that many hedge fund managers will need to register with the SEC within the next year or so (assuming that Congress passes one of many proposed registration bills).  Anticipating this requirement, my team and I at Mallon P.C. [...]

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Hedge Fund Compliance and Twitter

July 11, 2009

Cat and Mouse Securities Compliance

It seems so many aspects of the securities industry is the cat and mouse game of regulate (government) and sneakily avoid (industry participants).  This is especially true when it comes to compliance and “what you can get away with.”  As the post below notes, many compliance rules (and other securities laws [...]

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California Investment Advisor FAQ

July 4, 2009

California Based Hedge Fund Managers Receive Answers to Common Questions
As I have discussed many times before, each state securities division has different rules and regulations.  In addition, each state has different interpretations of those rules and regulations. This makes it difficult for hedge fund managers to really know exactly what is required in each state [...]

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Hedge Fund Regulation Principles

June 27, 2009

IOSCO Pushes Securities Regulators to Adopt Registration Provisions
Over the past few months we have been highlighting the Congressional attempts to regulate and/or register hedge funds and more recently have discussed the Obama hedge fund registration plan.  However, we have not discussed what is happening internationally.  Like the in the US, other major financial centers around [...]

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Annual Reminder for CPOs and CTAs

January 20, 2009

Commodity Firms Need to Complete Annual Regulatory Information

The NFA recently released a regulatory reminder to firms which are registered as commodity pool operators and/or commodity trading advisors.  The reminder reminds CPOs and CTAs that there are certain annual regulatory items which a firm must complete in order to remain in good standing with the NFA.  [...]

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Registration Renewal For Brokers (IARD Notice)

December 5, 2008

It is that time of the year for registration renewals.  Renewal notices for investment advisor registration renewal were sent out by many states this week.  Additionally, brokers and brokerage firms will need to renew all of their registrations.  The following is the registration renewal notice I recieved today.  If your firm needs help with registration, [...]

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