Hedge Fund Compliance Blog

HomeAbout UsBlogContact UsService ProvidersPWG TechCheckTraining

Entries from April 2008

The Ever-Expanding World of HF Regulation

Posted under Compliance Program on April 28th, 2008 by Judith Gross0 comments

We now see an increasingly globalized hedge fund business, with asset managers having offices all over the world. This raises ever-more complicated compliance scenarios, as managers must evaluate (a) which regulations actually apply to them, and (b) how to implement them if they do.
For example, a manager with a head office in New York [...]

Who’s the Client?

Posted under SEC on April 10th, 2008 by Judith Gross0 comments

It’s been two years since the Goldstein court decision shook the SEC’s regulatory structure by once and for all setting everyone straight that when the term “client” is used, it means the “fund”, and not the “investor”.So, for example, when the SEC asks in a Form ADV question how many “clients” a hedge fund adviser [...]