Author Archives: Alex Akesson

About Alex Akesson

Alex has been specializing in hedge fund and alternative investment news since April 2006. Working mainly in research and manager interviews, she has published breaking news on the hedge fund industry on her blog, as well as several industry publications. Her access to hedge fund managers gives her insight into news stories as well, and the ability to track press releases and other breaking news in real time.

Hedge Fund Compliance: SEC Private Fund Registration Deadline

Private fund adviser registration is here, meaning a whole new world of compliance risk has become a reality. Successful registration means more than just filling out a form and the March 2012 deadline is fast approaching. Remember, in order to be registered by the deadline, you must file by February. If you haven’t already taken the steps necessary to protect your […]

FINRA Proposes Rule to Require Additional Notice Filing and Delivery to Hedge Fund Investors

By Jay Gould –  (Pillsbury Winthrop Shaw Pittman LLP) – On October 18, 2011, the SEC released a notice of FINRA’s filing of Proposed Rule 5123 (the “Proposed Rule”) which would require FINRA members and associated persons to: 1) provide to investors disclosure documents in connection with private placements prior to sale and 2) file with FINRA such disclosure documents within […]

Sadis & Goldberg Hedge Fund Advisers Tax Alert

Exempt reporting advisers (“ERAs”) must prepare and file Form ADV Part 1A with the SEC and comply with certain other reporting and recordkeeping requirements under the Investment Advisers Act of 1940 (“Advisers Act”), such as §204A (insider trading prohibitions), §206 (anti-fraud provisions) and Rule 206(4)-5 (pay-to-play rules). ERAs are investment advisers to hedge funds and private equity funds that avoid […]

A Guide to Technology Outsourcing for Hedge Funds

Hedge funds are looking to expand their offerings and enhance productivity in today’s economy, and one means for this is outsourcing. The 24-page guidebook, A Guide to Technology Outsourcing for Hedge Funds, was created by Pershing Prime Services and Eze Castle Integration to serve as a roadmap for hedge fund managers looking to understand the various options that exist in […]

Hedge Fund Adviser Alert: New Form SLT Deadline Approaching

Holland & Knight – Effective September 30, 2011, the new Treasury International Capital (TIC) Form SLT is required to be filed by certain large investment advisers.  The first filing deadline will be October 24, 2011, for any investment adviser that has $1 billion or more of reportable securities (defined below) as of the last business day of the reporting month (to the extent […]

Hedge Fund Compliance: The National Exam Risk Alert

The SEC recently released a National Exam Risk Alert outlining the various threats posed by master/sub-account relationships. These account types have gained in popularity within the institutional market, largely due to the ease of market access for the sub-account traders. The master account is typically an entity with a LLC or LLP structure that provides the broker-dealer’s MPID to the […]

UCITS Hedge Fund Index – Results of Quarterly Industry Survey Q3 2011

The UCITS Alternative Index Team is delighted to present the latest edition of the UAI Quarterly Industry Survey for Q3 2011. Based on answers from market participants, the report provides insight information on the state and evolution of the UCITS hedge fund industry. The study was sent to all market participants receiving the UCITS Alternative Index performance updates. We take […]

Credit Suisse Alternative Beta Strategies: Hedge Fund Investing: How to Optimize Your Portfolio

The Credit Suisse Alternative Beta Strategies team today released Hedge Fund Investing: How to Optimize Your Portfolio . The report examines how hedge fund replication can be used to help mitigate risks that are inherent with hedge fund investing. Dr. Jordan Drachman, Head of Research for Alternative Beta Strategies at Credit Suisse, summarized some key conclusions from the report (available here), “Over […]

Weekly Update: UCITS Alternative Index Blue Chip Down

The UCITS Alternative Blue Chip Index is down -1.07% this week, ending the month with a negative performance of -1.47%. All strategies are down for the week, with Commodities (-7.49%) and Emerging Markets (-4.21%) the worst performers. This has been a rough month for those two strategies as they experience their worst drawdowns since the beginning of the year. Apart […]

HFA Northeast Chapter Risk & Regulation Symposium

Date: September 22, 2011 Location: Thomson Reuters 3 Times Square, 30th Floor, 3XSQ New York, NY 10036 For hedge fund firms, managing risk and complying with new regulations is mission critical, especially as firms adapt to expanded investor requirements and competitors enter the marketplace. To attract investors, managers need to establish institutional quality compliance programs and clearly demonstrate the edge of […]


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