Consultants, Investment Advisers, and Compliance Jun1

Posted by & filed under Compliance, White Papers/ Thought Pieces.


It is imperative that the chief compliance officer of an RIA review the RIAs policies and procedures to make certain that the Code of Ethics and policies and procedures are up to date and contain a definition of “Access Person” that is consistent with Rule 204A-1 and the SEC’s interpretations of that rule

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What Investors Will Ask During an Operational Due Diligence Exam Apr26

Posted by & filed under Compliance, Hedge Fund Investors, White Papers/ Thought Pieces.


Michael V. Merrigan, Founder & Managing Member Shadmoor Advisors LLC contributes the following post. Shadmoor Advisors will be one of the specialists hosting a table at our Table Talks event in New York on May 2nd. As we approach the event we will be featuring white papers from our various specialists.   Beyond Valuation, Compliance &

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Setting The Record Straight: JOBS Act Marketing Opportunities For Smaller Hedge Fund Managers Dec5

Posted by & filed under Compliance, Hedge Fund Investors, Hedge Fund Marketing, Press.


By: Irwin M. Latner, Partner, Herrick, Feinstein LLP Why are hedge fund managers so confused about what marketing activities they can and cannot engage in post JOBS Act?  Sources of confusion arise from the lack of harmony and uniformity between the relevant federal and state laws in this area, as well as certain misconceptions about

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