Analysis

The SEC turns up the heat on gatekeeper responsibilities

More service providers seek additional protection in their terms in light of extra scrutiny


CCO liability: Eight steps for reducing your exposure

How CCOs can structure a successful compliance programme

Up close and personal: How hedge funds monitor employee trading

Major firms tweak policies to keep up with technology and investment trends



Bruises from a nine-year battle with the SEC

Yorkville founder Mark Angelo expresses relief and anger after main fraud charges are dismissed


Preventing backlash: How firms can respond to whistleblowers

How to encourage internal reporting after court case incentivises SEC contact


Rise of the robots: How to deal with OCIE’s remote exams

With more remote exams being conducted, managers need to be ready


Sexual harassment policies are not enough

As sexual harassment claims rise, hedge fund managers increase training to prevent misconduct


Managers still trying to understand the Form ADV amendments

As the annual filing deadline approaches, hedge fund managers still uncertain about reporting requirements


Best practice for hedge funds using hypothetical and model performance

How managers relying on model or hypothetical performance can avoid enforcement actions


Compliance in 2018: Your guide to the key issues

Mifid II, Tax reform and the SEC agenda in 2018


London Calling: How to launch a hedge fund in Brexit Britain

HFMCompliance explains the compliance challenges of starting up in London  


How should CCOs deal with alternative data risks

From insider trading to privacy concerns, CCOs look to manage data sources


Seward & Kissel Study Shows Side Letter Usage Rising Among Newer Managers

Side letter agreements supplementing or modifying the standard terms of a fund’s offering memorandum, subscription agreement or constitutional documents to




Best Practices to Avoid Regulatory Scrutiny for Hedge Fund Managers Structuring an Outsourced Compliance Relationship (Part Two of Two)

Both investors and regulators demand that hedge fund managers have a tailored, robust and evolving compliance program in place, but


Former Highbridge Capital Management GC Joshua Cohen Joins Kirkland & Ellis as Partner

Joshua Cohen has joined Kirkland & Ellis’ Investment Funds Group as a partner in the firm’s Chicago office. Cohen’s areas


Key Elements of a Comprehensive Hedge Fund Disaster Recovery Plan

Hedge fund managers reasonably tend to focus the better part of their time and resources on fund performance, strategy execution,


Best Practices for Private Equity Managers Entering into Joint Ventures with Investors (Part Two of Three)

Large institutional investors with designated in-house teams tasked with evaluating investment opportunities and overseeing allocations have begun partnering with private


Best Practices to Avoid Regulatory Scrutiny for Hedge Fund Managers Structuring an Outsourced Compliance Relationship (Part One of Two)

The regulatory environment has changed for hedge fund managers, and there is an expectation from investors and regulators that managers