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Hedge Funds: Regulation (32)
Your search for Hedge Funds: Regulation returned 32 results.
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9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
2/02/2017 | Content area: Private Fund
If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators ...
4/21/2016 | Content area: Private Fund
In a bid to better assess the relationship between a hedge fund’s level of leverage and corresponding risk, the Financial Stability Oversight Council ...
10/22/2014 | Content area: Private Fund
Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need i...
9/16/2014 | Content area: Private Fund
Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the fu...
1/31/2014 | Content area: CPO/CTA
This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interest...
9/23/2013 | Content area: Private Fund
Today opens up the opportunity for private offerings to be advertised with the elimination of the 80-year ban on general solicitation (IA Watch, July ...
6/17/2013 | Content area: Private Fund
We've reported before that you can swear off an annual audit in favor of a surprise exam to satisfy the SEC's custody rule (IA Watch, Jan. 21, 2013). ...
2/09/2012 | Content area: CPO/CTA
This are final rules released by the CFTC in February 2012 governing data collection rules for commodity pool operators and commodity trading advisers...
10/31/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers to co...
10/31/2011 | Content area: Private Fund
The final Form PF rule that garnered an unanimous vote by the Commission last week will contain numerous changes from the original proposal (IA Watch,...
5/30/2011 | Content area: Private Fund
All this talk that the SEC will delay the deadline for private fund advisers to register with the Commission (IA Watch, May 23, 2011) leads to a remin...
5/23/2011 | Content area: Private Fund
IA Watch has obtained an April 27 letter signed by SEC Chairman Mary Schapiro that indicates the Commission is likely to finalize by July 21 Dodd-Fran...
5/09/2011 | Content area: Private Fund
IA Watch has learned that the Division of Investment Management has formally asked the Commission to move the deadline to next year for mid-sized firm...
5/09/2011 | Content area: Private Fund
At 42 comments, the SEC wasn't exactly inundated with industry views about its proposed rule creating Form PF (IA Watch, Feb. 7, 2011) for fund advise...
4/04/2011 | Content area: Private Fund
Dodd-Frank made pretty clear that advisers to private funds with more than $150 million in AUM must register as investment advisers. New federal rules...
3/25/2011 | Content area: Private Fund
This is the famous U.S. Court of Appeals' decision from 2006 in the Phillip Goldstein v. SEC case that overturned the Commission's attempt to regulate...
3/08/2011 | Content area: Private Fund
This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was pr...
2/28/2011 | Content area: CPO/CTA | Private Fund
You have until April 12th to tell the CFTC what you think of its new proposal to eliminate exemptions that have kept many hedge funds that invest in c...
2/07/2011 | Content area: Private Fund
Among Dodd-Frank's more controversial reforms are those that would affect only RIAs that are affiliated with a bank. If this captures your firm, be aw...


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