Posted under Regulation, SEC on November 10th, 2009 by Judith Gross
We’re not sure what inning it is, but the hits are coming in fast and furious when it comes to bill proposals for hedge fund registration. Just today, Chris Dodd released the discussion draft of the “Restoring American Financial Stability Act of 2009’’, which contains within it the ‘‘Private Fund Investment Advisers Registration Act of [...]
Posted under Insider Trading, SEC on November 5th, 2009 by Judith Gross
With the arrest of 13 additional individuals and entities in the Galleon case, we urgently see the need for hedge fund compliance to beef up in two areas:
OPERATIONAL RISK CONTOLS- Hedge Funds need to understand and monitor where and how the information being traded on is generated.
TRAINING - Employees need to understand precisely what [...]
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