SEC3 Article Published by HedgeWorld.com

Thursday, 01 October 2009 19:00

Today, HedgeWorld.com published an article written by Janaya Moscony and Jose Santiago, both of SEC Compliance Consultants, Inc.

The article entitled SEC Registration of Private Fund Investment Advisers - It's Not as Scary as You Think takes a look at many current hedge fund practices and draws the conclusion that many hedge funds already have policies and procedures in place in certain areas which are pretty close to meeting the SEC's requirements concerning written policies and procedures.

The article was also shared with SEC3's CCO Communiqué distribution list.  A copy can be found in our Library.

Hedge Fund Registration - SEC3 Publishes Hedge Fund Guide to SEC Registration

Thursday, 16 July 2009 19:00

On July 15th, 2009, The U.S. Department of the Treasury proposed amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act") that would have significant implications to advisers to private pools of capital such as hedge funds, venture capital funds, private equity funds, and other private pools including both U.S. and non-U.S. domiciled products. 

Under the proposal, all advisers with assets under management greater than $30 million and either domiciled in the U.S. or with greater than 10% of their investors being U.S. persons would be required to register with the SEC. 

Our Guide offers a step by step examination of the registration process, the on-going requirements and a look at the costs associated with complying and the costs of non-compliance.

Visit our Library to access a copy.