Expansion of Compliance Industry is Forecast
“Compliance Officer” is one of the fastest growing occupations, according to the Department of Labor.  Its forecast calls for exponential growth in this field, with a projected growth of 31%...
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SEC Addresses Hedge Fund Pay-to-Play Issue
On the heels on several high profile scandals, the SEC has moved quickly to address “pay-to’play” practices in the hedge fund and investment advisory arenas. Last week, the SEC adopted new Rule...
View ArticleDodd-Frank Law Coaxes Hedge Funds into Regulatory Purview; States Expected to...
The Dodd-Frank bill, signed into law on July 21, 2010, finally puts on the books a law meant to bring the vast majority of hedge funds under regulatory supervision. The law specifically requires...
View ArticleNetLingo and Compliance Screening: LOL?
Typically, a financial services compliance officer will perform routine screenings of employee emails, instant messages and chat room posts. This screening is the backbone of a compliance program,...
View ArticleHedge Fund Registration Under Dodd-Frank Act: Q&A
Q. My hedge fund firm is not currently registered. Will my firm be required to register?read more...
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US Sentencing Guidelines: A Cornerstone of Hedge Fund Compliance Practices
Compliance regulations couldn’t get any more press than they do today, given the almost daily raft of new SEC and Treasury rules. However, ever stop to wonder what the backbone of compliance law is?...
View ArticleForm PF Will Challenge Hedge Funds
The Securities and Exchange Commission, in conjunction with the Commodity Futures Trading Commission, has proposed a new “Form PF” reporting requirement, which, if implemented as proposed, represents a...
View ArticleHedge Fund Compliance Blog Has Moved to FORBES.COM
Keep reading at “Hedge Rows” at http://blogs.forbes.com/judygross/read more...
View ArticleRajaratnam Verdicts Send Message to Hedge Funds
Today’s guilty verdicts in the Rajaratnam insider trading case on 14 counts of securities fraud and conspiracy will send a strong message to hedge funds. The case explored the line between legitimate...
View ArticleHedge Funds and Advertising: âNo advertisingâ rules more...
In the category of âLaws that Havenât Caught Up with the 21st Centuryâ, the internet aspects of the rules that prohibit hedge fund advisers from âadvertisingâ may come in first place. The...
View ArticleNew Whistleblower Rules Create Challenges and Opportunities for Hedge Funds
As part of the Dodd-Frank Act, the SEC has just adopted a rich bounty program which gives some serious incentives to whistleblowers to report first to the SEC (and to internal compliance later). Â...
View ArticleNew Rules for Hedge Fund Adviser Registration Adopted â States to...
This past week, the SEC finalized rules requiring registration of most hedge fund investment advisers with either their state or the SEC. As mandated by the Dodd-Frank Act, a gaping regulatory hole...
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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...
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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...
View ArticlePerils 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...
View ArticleInsider 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...
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Regulatory 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...
View ArticleIn Controversial Self-Regulatory Organization Proposed Bill, Hedge Funds Are...
Congressional Bill HR4624, the âInvestment Adviser Oversight Act of 2012â has been introduced into Congress, with a hearing scheduled to be held tomorrow, June 6, 2012. Â The co-sponsors of the...
View ArticleIs Your Hedge Fund Style âDriftingâ? Quick, Catch It!
Hedge fund style âdriftâ 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...
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