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Posts Tagged ‘ hedge fund custody ’

21 September
Posted in Business Issues, SEC

Rule 206(4)-2 – Hedge Fund Custody Rule

From time to time on this site we discuss the custody rule for SEC registered hedge fund managers.  Below we have reprinted the entire regulation. **** Rule 206(4)-2 –Custody of Funds or Securities of Clients by Investment Advisers a. Safekeeping required. If you are an investment adviser registered or required [...]

Net Capital Requirement for State Registered Hedge Fund Managers

Overview of Net Capital Requirement and Bond Alternative Hedge fund managers who need to register as investment advisors in their state of residence often have to deal with the net capital requirement issue.  Usually there will be two separate net capital requirements for the investment advisor (meaning the fund’s management [...]

Proposed Amendments to the Investment Advisers Act: SEC Requests Feedback

The Securities and Exchange Commission (SEC) is proposing certain amendments to the custody rule under the Investment Advisers Act of 1940 and related forms. Due to the complexity of the various impositions placed on industry professionals by the proposed amendments, the SEC is formally requesting feedback from industry professionals regarding [...]

14 May

SEC Proposes More Onerous Custody Rules For Hedge Fund Managers

Hedge Funds to be Subject to “Surprise Exams” In addition to the likelihood of hedge fund registration, the SEC is now proposing to have “gatekeepers” to make sure that investment advisors are not engaged in any fraudulent behavior.  When and if such a requirement is adopted, it will further burden [...]

28 January

Professor Coffee Testimony at Senate Madoff Hearing

Yesterday the Senate Banking Committee held a hearing on the Madoff scandal.  Those present included: Senator Christopher J. Dodd; Professor John C. Coffee, Adolf A. Berle Professor of Law, Columbia University Law School; Dr. Henry A. Backe, Orthopedic Surgeon; Ms. Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. [...]

Hedge Fund Legal Services

Cole-Frieman & Mallon LLP provides comprehensive legal services for new and existing hedge funds as well as for other investment management companies.

If you are thinking of starting a hedge fund or an incubator fund, please call Bart Mallon of Cole-Frieman & Mallon LLP today at
415-868-5345.

View Bart Mallon's profile on LinkedIn


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