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Hedge Fund Boards of Directors Play Vital Role
The role of directors on offshore hedge funds has often been, at best, a limited oversight role, with perfunctory annual meetings and limited interchange with the fund itself during the year.* This...
View ArticleFor Hedge Fund Investors in the Know, New Regulations May Provide Enhanced...
Securities regulations have many goals (prevention of misdeeds, market stability, investor protection), however, for those who can navigate the system, new hedge fund regulationswill have the effect of...
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State Investment Adviser Exams Reveal Significant Deficiencies
The results of coordinated state examinations of investment advisers in the first half of 2011 by the North American Securities Administrators Association (NASAA) reveal significant deficiencies in a...
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Perils of Side Letters for Hedge Fund Managers and Investors
Most investors contemplating investing in a hedge fund believe they are presented with a set of fixed terms for their investment. These terms are outlined in the private offering memorandum and appear...
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Insider Trading at Hedge Funds: A Risk Area that is Difficult to Address
Insider trading is an area of risk that hedge fund management finds very difficult to identify and prevent. While the problem has become increasingly prevalent, the tools to be able to assist hedge...
View ArticleRegulatory Focus on Hedge Funds Continues
The regulatory focus on hedge funds continued during the first quarter of 2012, as new iniatives continued to roll out, and milestones in the implementation of rules put on the books last year were...
View ArticleIn Controversial Self-Regulatory Organization Proposed Bill, Hedge Funds Are...
Congressional Bill HR4624, the “Investment Adviser Oversight Act of 2012” has been introduced into Congress, with a hearing scheduled to be held tomorrow, June 6, 2012. The co-sponsors of the Bill are...
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Is Your Hedge Fund Style “Drifting”? Quick, Catch It!
Hedge fund style “drift” is said to occur when a hedge fund manager strays from their stated investment strategy. The term used to be an esoteric one, used only by professional hedge fund analysts....
View ArticleCFTC Registration Adds Additional Regulatory Layer for Hedge Funds
Earlier in the year, the Commodities Futures Trading Commission (CFTC) repealed a key exemption from registration that a majority of hedge fund advisers had relied on. Set to expire at the end of the...
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Release Of EU ‘Implementing Regulations’ Completes Chaotic Year For Hedge...
European flag outside the Commission (Photo credit: Wikipedia) The US hedge fund industry faced a host of new US regulatory challenges in 2012 — but the icing on the cake came in December with the...
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‘Finding’ Hedge Fund Investors Just Got A Bit More Difficult
Its A Thin Blue Line (Photo credit: Glyn Lowe Photoworks) The hedge fund world has always walked a fine line when it comes to attracting new investors. And nowhere has this line been thinner than the...
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Hedge Funds And Money Laundering
There are indications from Washington that hedge funds, long exempt from anti-money laundering reporting rules, may soon be brought into the fold under new rules proposed by the Treasury Department’s...
View ArticleCompliance Technology Now A Necessity For Hedge Funds
Once viewed as a luxury reserved for only the largest hedge funds, compliance technology has entered the mainstream. The complexity of reporting obligations, combined with the expanded number of hedge...
View ArticleGovernment Shutdown Impact on Hedge Funds
The impact of the October 1 shutdown of the federal government on hedge funds is now playing out in slow motion. While the SEC remains open due to its ability to self-fund for a few weeks, its sister...
View ArticleHedge Funds Wrestle with Employee Personal Account Trading Conflicts
Trading ahead of client accounts. Insider trading. Breach of fiduciary duty. These were just some of the concerns that the SEC had when it adopted the requirement for investment advisers to establish...
View ArticleCybersecurity Of Hedge Fund Data
The cybersecurity of hedge fund data is now a front-burner issue for many firms. In the wake of recent NSA leaks, privacy breaches and hacking scandals, both the regulators and the firms themselves...
View ArticleHedge Funds Must Ramp Up Infrastructure to Accommodate Liquid Alts
Pressures have been mounting on hedge fund managers to hedge their own businesses and diversify away from the hedge fund model itself. Lackluster performance, difficult markets, fees that are...
View ArticleHedge Fund Insider Trading Concerns after Latest Major Court Decision
At their core, hedge funds are processors of information and the product they sell is their ability to utilize information to make profitable trading decisions. Analyzing a security from a pre-trade...
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Transparency Issues at Hedge Funds Continue
How much information should be provided to investors about the fund they have invested in? The answer to this question has evolved over time. In the past, limited information was provided on the theory...
View ArticleDiversity Matters for Hedge Funds
This week, a final inter-agency policy statement establishing joint standards for assessing the diversity and inclusion policies and practices of regulated financial entities was published by the SEC...
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