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Posts Tagged ‘ investment advisor custody ’

Mallon P.C. Comments on Proposed Investment Adviser Custody Rule

In May we reported that the SEC was requesting comments on the new Proposed Investment Adviser Custody Rules.  The SEC’s comment period ended this past week with a flurry of activity before the submission deadline.  As we reported previously, there has been a general industry backlash against the rule because [...]

Net Capital Requirement for State Registered Hedge Fund Managers

Overview of Net Capital Requirement and Bond Alternative Hedge fund managers who need to register as investment advisors in their state of residence often have to deal with the net capital requirement issue.  Usually there will be two separate net capital requirements for the investment advisor (meaning the fund’s management [...]

Proposed Amendments to the Investment Advisers Act: SEC Requests Feedback

The Securities and Exchange Commission (SEC) is proposing certain amendments to the custody rule under the Investment Advisers Act of 1940 and related forms. Due to the complexity of the various impositions placed on industry professionals by the proposed amendments, the SEC is formally requesting feedback from industry professionals regarding [...]

SEC Chairman Discusses Potential New IA Custody Rules

Hedge Fund Advisors May be Impacted Yesterday SEC Chairman Mary Schapiro discussed many new SEC initiatives in a speech given to the Society of American Business Editors and Writers.  One of the new initiatives involves those advisors who have “custody” of client assets.  With respect to such advisors, Shapiro said: [...]

Hedge Fund Legal Services

Cole-Frieman & Mallon LLP provides comprehensive legal services for new and existing hedge funds as well as for other investment management companies.

If you are thinking of starting a hedge fund or an incubator fund, please call Bart Mallon of Cole-Frieman & Mallon LLP today at
415-868-5345.

View Bart Mallon's profile on LinkedIn


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