Posts tagged as:

investment advisor compliance

California Investment Advisor Annual Compliance Reminder | 2010

February 14, 2010

(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 ADV Updating Amendment
Registered investment advisers will need [...]

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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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IA Compliance Fall Conference 2009

September 21, 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 and I at Mallon P.C. [...]

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