80-year ban on private placement advertising has been lifted! Sep23

Posted by & filed under Compliance, Hedge Fund Marketing.

Today marks the first official day that federal legislation goes into effect allowing hedge funds to advertise their product publicly.   This means hedge funds, as well as small startups, can begin to advertise their product publically through vehicles such as social media sites, without having to register their shares for public trading. While restrictions… Read more »

Dodd-Frank and New SEC Rulemaking Initiatives Dec27

Posted by & filed under Compliance.

We welcome guest contributor Seymour Bucholz, a seasoned transactional attorney focused on corporate and regulatory matters for broker-dealer clients at Garvey Schubert Barer. Mr. Bucholz is presenting a white paper discussing the impact of the forthcoming Dodd-Frank Act. Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act will impact virtually every professional… Read more »

Marketing vs. Legal/Compliance: Developing an Alternative Investment Website Jul12

Posted by & filed under Compliance, Hedge Fund Marketing.

Guest Post: Holly Singer, President of HS Marketing, a firm dedicated to helping firms in the alternative investment community achieve lasting impressions, contributes with to The Final Meeting with a piece on balancing marketing needs and compliance requirements in relation to creating an alternative investment website. Most successful managers of alternative investments know that frequent… Read more »

Big 12 Best Practices Plus 4 Quant & 3 Qual Minimums May28

Posted by & filed under Compliance.

Guest Post: Industry expert and guest contributor Ron Suber discusses the Big 12 Hedge Fund Best practices and the Four Quantitative and Three Qualitative  Minimums for Hedge Funds. Big 12 Hedge Fund Best Practices 1)   Written compliance and employee trading policies with periodic attestation 2)   Multiple levels of authority on cash movements with a minimum… Read more »