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Open Categories Menu Exemption from the Registration Provisions of the Investment Advisors Act We have discussed the SEC hedge fund registration exemption many times before, but we have not addressed it directly.For most management companies with a single hedge fund client, registration is actually a relatively easy and straightforward process. Once hedge fund [...]
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Posts Tagged ‘ investment advisor exemption ’
19 December
Posted in
Laws
1
SEC Hedge Fund Registration Exemption – Section 203(b)(3) and Rule 203(b)(3)-1
15 December
Posted in
Laws
Exemption From Florida Investment Advisory Registration
Most states do not have securities laws which provide hedge fund managers with an exemption from investment advisor registration at the state level. However, Florida does have an exemption which many Florida based hedge fund managers rely upon in order to avoid registration with the Florida Securities Division. Specifically, Section [...]
20 November
Posted in
Investment Advisor, Legal Resources
California Investment Advisor Exemption for Certain Hedge Fund Managers
In the article Connecticut Hedge Fund Registration Exemption, we discussed that certain states like Connecticut provide administrative orders allowing hedge fund managers an exemption from the registration provisions under certain circumstances. Similarly certain states have provided a similar exemption to hedge fund managers through the securities commission rule making process. [...]
