Posts tagged as:

hedge fund regulation

CFTC Head Addresses Futures Industry in Chicago

October 21, 2009

Futures Industry Association Annual Expo
CFTC Chairman Gary Gensler today spoke at the Futures Industry Association’s annual expo in Chicago. While most of the Chairman’s speech  focused on the proposed regulation of the OTC derivatives markets, Chairman Gensler also discussed the recent SEC and CFTC Harmonization report. As you can imagine, Gensler [...]

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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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SEC Budget to Double Under Schumer Proposal

September 15, 2009

Embarrassed Agency Would Get Much Needed Funding
“The SEC’s failure to catch Bernie Madoff shows a level of incompetence unseen since FEMA’s handling of Hurricane Katrina” — Charles Schumer
To say that the SEC is or should be embarrassed about the Madoff scandal is an understatement (please see our most recent discussion on the SEC and Madoff).  [...]

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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 Adviser Registration Filing Tips

August 4, 2009

How to get an IA application approved quickly
Occasionally we find the opportunity to comment on other blog posts from other legal professions within and outside of the investment management industry.  A legal blogger who I regularly follow is David Feldman from the Reverse Mergers & SPAC Blog.  David is the expert in the reverse mergers [...]

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Private Fund Investment Advisers Registration Act of 2009

July 15, 2009

Bart Mallon, Esq.
http://www.hedgefundlawblog.com
****UPDATE 10/27/2009****
The House Financial Services Committee voted on October 27, 2009 to pass the Private Fund Investment Advisers Registration Act of 2009 as H.R. 3818 (full text of bill as passed - please note that it is different from the earlier version of the bill reprinted below).  The bill as passed by the [...]

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Obama Moves Forward with Hedge Fund Registration Legislation

July 15, 2009

Bart Mallon, Esq.
http://www.hedgefundlawblog.com
Treasury Announces New “Private Fund Investment Advisers Registration Act of 2009”
After much discussion in the press over the last 8 to 10 months abut the possibility for hedge fund registration, the Treasury today announced the Obama Administration’s bill which requires managers to “private funds” to register with the SEC.  This registration requirement would [...]

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Obama Administration Proposes New Regulatory Agency

July 9, 2009

Assistant Secretary Michael Barr Testifies Before House Committee Regarding President’s Proposal to Establish New Consumer Financial Protection Agency
On July 8th, 2009, Assistant Secretary Michael Barr delivered a statement before the House Committee on Energy and Commerce regarding the Administration’s recent proposal to establish a new financial regulatory agency designated with the sole task of protecting [...]

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Hedge Funds with $25MM of AUM to Register Under Commissioner Aguilar’s Plan

July 2, 2009

SEC Commissioner Aguilar Proposes Registration For Funds with as little as $25MM of AUM
Just today I had an opportunity to review the transcript of a speech by SEC Commissioner Aguilar in which he advocates that funds with as little as $25MM of AUM should register with the SEC.  Such a low threshold for registration is [...]

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Consumer Financial Protection Agency Act of 2009

June 30, 2009

As part of the new Obama financial regulation plan, which includes potentially the registration of hedge fund managers with the SEC, the Whitehouse has sent a draft to congress of the new Consumer Financial Protection Agency Act of 2009 (CFPAA of 2009).  The act would create a new government agency which would have some interaction [...]

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