Posts tagged as:

hedge fund laws

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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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 Fund Law Questions

February 12, 2009

Recently I have received a few good hedge fund law questions.  Please remember that these answers are general discussions of the law and should not be a substitute for actual legal advice.  This discussion does not form an attorney-client relationship, please see our disclaimer.
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Question: [with reference to the new Hedge Fund Registration article] So what’s [...]

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Professor Coffee Testimony at Senate Madoff Hearing

January 28, 2009

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. Securities and Exchange Commission; Ms. [...]

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Thomsen Testimony at Senate Madoff Hearing

January 28, 2009

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. Securities and Exchange Commission; Ms. [...]

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Richards Testimony at Senate Madoff Hearing

January 28, 2009

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. Securities and Exchange Commission; Ms. [...]

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Hedge Fund Taxation - Law School Professor Perspective

January 14, 2009

Overview of Hedge Fund Taxation
The following is a reprint of the Joseph Bankman’s testimony before Congress.  Mr. Bankman is a professor at Stanford Law School.  While the testimony has a bias against the current hedge fund taxation structure, it provides a great overview of hedge fund tax issue, specifically the taxation of the hedge fund [...]

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New Mexico Hedge Fund Law

January 10, 2009

Starting a hedge fund in New Mexico
Hedge fund managers who reside in New Mexico will be deemed to be investment advisors under New Mexico’s securities act and, unfortunately, there is no exemption available from the registration provisions of the act.  This means that before a manager establishes a fund based in New Mexico, he will [...]

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Authority of Various Securities Laws and Releases/ Interpretations

December 5, 2008

The reference below comes directly from the SEC website and provides the reader with a good overview of the different laws and rules which govern the hedge fund industry, and the order in which those rules are applied (that is, the securities statutes trump SEC interpretive releases).  This reference is important for hedge fund managers [...]

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Hedge Fund Law - Summary of Hedge Fund Laws and Regulations

November 18, 2008

he following is a summary of the major laws which affect the hedge fund industry.  If you have any questions on how these laws impact hedge funds in general or your specific situation, please contact us.
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Securities Act of 1933 – the 1933 Act was enacted on May 27, 1933 as a reaction to the market [...]

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