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Open Categories Menu As we discussed in an earlier post, the SEC proposed new rules and amendments to existing rules under the Investment Advisers Act (the “Act”) to implement certain provisions of the Dodd-Frank Act related to hedge fund registration. In summary, the new rules: clarify eligibility for SEC registration for hedge fund and [...]
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Posts Tagged ‘ Investment Advisers Act ’
4 February
Posted in
Investment Advisor, new hedge fund regulations
Hedge Fund Books and Records Requirement
Hedge Fund Regulation May Include Rule 204-2 As we have discussed, hedge fund regulation legislation has been introduced as the Hedge Fund Transparency Act. This legislation calls for hedge funds to maintain such books and records that the SEC would require. It is likely that the books and records required [...]
21 November
Posted in
Investment Advisor
Investment Advisor Fraud
In addition to fraud in the hedge fund space, investors need to be aware of fraud with strictly investment advisory firms. This notice and the complaint below provide more information on a specific investment advisory firm fraud.
