Posts tagged as:

hedge fund law

Insider Trading Overview

November 15, 2009

In light of the recent focus on insider trading, we are publishing the SEC’s discussion on Insider Trading which can also be found here.  The information below contains a broad overview of some of the important aspects which hedge fund managers should understand about the insider trading prohibitions.
For a greater background discussion on the legal [...]

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Section 204A | Investment Advisers Act of 1940

November 12, 2009

Section 204A — Prevention of Misuse of Nonpublic Information
Every investment adviser subject to section 204 shall establish, maintain, and enforce written policies and procedures reasonably designed, taking into consideration the nature of such investment adviser’s business, to prevent the misuse in violation of this Act or the Securities Exchange Act of 1934, or the rules [...]

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Hedge Fund Manager Charged with Insider Trading

October 16, 2009

SEC Brings Case Against Raj Rajaratnam
Below is another case of a hedge fund manager who was alledgedly engaged in insider trading. The SEC seems particularly excited about this cased because of the high profile nature of the manager who was involved. The major charge is against Raj Rajaratnam who reportedly has a net [...]

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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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Hedge Funds and Insider Trading

October 10, 2009

Hedge Fund Manager/Trader Settles Charges with SEC
Insider trading cases pop up every now and again and most cases do not warrant highlighting - post-Boesky everyone in the securities industry is well aware that trading on inside information is illegal.  However, it warrants emphasis that the SEC will crack down on hedge fund managers or traders [...]

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Obama on Financial Reform

September 14, 2009

President Discusses Future Financial Regulations in Advance of G20
Earlier today President Obama gave a speech in New York discussing the administration’s future plan for greater regulation of the financial markets in the wake of the financial crisis of 2008/2009.  Speaking strongly the President said:
So I want everybody here to hear my words:  We will not [...]

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Investment Advisory Fees | Hedge Fund Performance Fees and Management Fees

September 12, 2009

Review of State Investment Advisory Fee Rules
One of the things I have tried to emphasize within this blog is that there is no “one size fits all” legal solution to hedge fund formation.  Each client/manager has a unique set of circumstances and will be subject to a potentially different sets of laws or regulations depending [...]

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Hedge Funds and TV Tokyo

September 5, 2009

One of the interesting aspects about having a hedge fund blog is that it provides me with the opportunity to connect with many people in the hedge fund industry whom I would normally not have a chance to meet.  I also have the opportunity to talk with various media publications regarding hedge funds.  The two [...]

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Hedge Funds and Rehypothication

July 21, 2009

Ongoing Legal Issues For Hedge Fund Managers
While many of the posts on this blog deal with start up and regulatory issues which hedge fund managers face, we also are aware that there are many ongoing legal issues which affect the business of the fund.  Below is a guest post from Karl Cole-Frieman on on hedge [...]

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Hedge Fund Records

June 30, 2009

Access to Records under the Delaware Uniform Limited Partnership Act
A vast majority of hedge funds are structured as limited partnerships under the Delaware Uniform Limited Partnership Act (the DULPA).  The code is very flexible and allows the limited partnership agreement (LPA) to be drafted in a very manager-friendly manner. To the extent that a LPA [...]

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