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Open Categories Menu Examination Reveals Compliance Focus Areas NASAA, the lobbying body of the various state securities divisions, recently released a set of examination findings which describe the common compliance deficiency areas for IA firms registered with the state securities commissions. The exams, which were completed by state administrators, showcase a number of [...]
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Posts Tagged ‘ IA compliance ’
11 April
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compliance
Compliance Update for California Hedge Funds – Presentation
As part of the Hedge Fund Networking Summit Webcast Series, Bart Mallon of Mallon P.C. led an hour long presentation on compliance matters for California based hedge fund managers. The presentation covered the following topics: New SEC and CA Hedge Fund Registration Requirements Registration Overview & Major Issues Compliance Overview [...]
21 September
IA Compliance Fall Conference 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 [...]
