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Open Categories Menu (www.hedgefundlawblog.com) State registered investment advisory firms usually have annual compliance requirements. The following discusses the major issues for investment advisors (both hedge fund and separately managed account managers) who are registered in California. In general, there is (i) an annual updating requirement and (ii) an annual financial filing requirement. Annual [...]
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Posts Tagged ‘ investment advisor compliance ’
12 October
Hedge Fund Regulation IT Solutions
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 [...]
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 [...]
