Posts tagged as:

investment advisor registration

Hedge Fund Manager Registration to Cost Taxpayers $140 Million (at least)

November 17, 2009

CBO Calculates Cost of House Hedge Fund Bill
This past week the Congressional Budge Office (“CBO”) released a cost estimate of H.R. 3818, the Private Fund Investment Advisers Registration Act of 2009.  In a number of private conversations I have had about hedge fund registration over the last 9-12 months one of the issues that was [...]

Read the full article →

Investment Adviser Representative Registration Requirement

October 18, 2009

Employees of Registered IAs Must Generally be Registered
State registered investment advisory firms need to make sure that their employees who are deemed to be “investment advisory representatives” are appropriately registered. This means that any employee (or owner) of the IA firm who provides investment advice or who has supervisory authority will generally need to [...]

Read the full article →

Proposed Hedge Fund Registration Bill Now Excludes VC Funds

October 5, 2009

Venture Capital Funds May Not Have to Register with Hedge Funds
While hedge funds have reluctantly resigned to the likely fate of SEC registration (see MFA Supports Registration), the venture capital community has been fighting hard to remain unregistered.  On this front, the VC community enjoyed a victory last week as Congressman Paul E. Kanjorski (D-PA) [...]

Read the full article →

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. [...]

Read the full article →

Investment Adviser Registration Filing Tips

August 4, 2009

How to get an IA application approved quickly
Occasionally we find the opportunity to comment on other blog posts from other legal professions within and outside of the investment management industry.  A legal blogger who I regularly follow is David Feldman from the Reverse Mergers & SPAC Blog.  David is the expert in the reverse mergers [...]

Read the full article →

SEC Supports Private Funds Transparency Act of 2009

July 20, 2009

Testimony Concerning Regulating Hedge Funds and Other Private Investment Pools
The SEC released a testimony from Andrew J. Donohue before the U.S. Senate about the regulation of hedge funds and other private investment pools.  According to Mr. Donohue’s statement, securities laws have not kept pace with the growth market and thus the SEC has very little [...]

Read the full article →

Private Fund Investment Advisers Registration Act of 2009

July 15, 2009

Bart Mallon, Esq.
http://www.hedgefundlawblog.com
****UPDATE 10/27/2009****
The House Financial Services Committee voted on October 27, 2009 to pass the Private Fund Investment Advisers Registration Act of 2009 as H.R. 3818 (full text of bill as passed - please note that it is different from the earlier version of the bill reprinted below).  The bill as passed by the [...]

Read the full article →

Private Fund Transparency Act of 2009

June 17, 2009

Another Bill Introduced in Senate to Regulate Hedge Funds
Congress now has three separate bills regarding hedge fund registration.  The most recent bill is called the Private Fund Transparency Act of 2009 and was introduced by U.S. Senator Jack Reed (D-RI) on June 16, 2009.
I will continue to update this post over time, but for now [...]

Read the full article →

NASAA Takes Sides on Proposed Hedge Fund Legislation

May 31, 2009

Endorses House Bill Over the Grassley-Levin Hedge Fund Bill
Last week the North American Securities Administrators Association (NASAA) announced its support of the Hedge Fund Adviser Registration Act of 2009, a house bill introduced earlier this year by Representatives Capuano and Castle.  The Hedge Fund Adviser Registration Act is one of two bills introduced in Congress [...]

Read the full article →

Hedge Fund Adviser Registration Act of 2009

April 6, 2009

Congressional Bill Proposed in House
In January we gave significant attention to the Hedge Fund Transparency Act of 2009 and we did not focus at all on a similar bill introduced in the House of Representatives.   The Hedge Fund Adviser Registration Act of 2009, introduced on January 27, would change the Investment Advisers Act of 1940 [...]

Read the full article →

← Previous Entries