Hedge Fund Blogs From HedgeCo.Net


Category Archives: compliance

9 Steps to Create an Information Security Plan

In today’s changing regulatory and investor landscape, Information Security Plans are critical for alternative investment firms to comply with SEC regulations, due diligence requests and state laws. Our newest eBook, 9 Steps to Create an Information Security Plan, provides the steps and practical tips for your firm to apply to your information security strategy today. The eBook will answer the following questions: What is an Information […]

The EU’s GDPR – What Does it Mean for U.S. Based Firms?

As the deadline to the GDPR steadily approaches, it is important to start preparing for the regulation if you haven’t already.  In case you aren’t aware, the EU took a major step to protect their citizens’ personal data and privacy rights by instating the EU Greater Data Protection Regulation (GDPR), which is scheduled to go into effect on May 25, […]

Will Regulations Encourage Best Practices in the Crypto Market?

by David Drake Cryptocurrency and its driving technology, blockchain, have generated a global experience more than anything else in modern history. Globally, regulators have started looking into ways to address the various challenges posed by cryptocurrencies, particularly those that bypass financial firms, exchanges, banks and clearinghouses that are already regulated. Since current cryptocurrency players mostly operate outside the traditional financial system, […]

Essential Building Blocks to Hedge Fund Cyber Risk Management

The following article originally appeared in HFMWeek’s Cyber Compliance Focus. It’s not enough to have strong security policies. And it’s not enough to have robust technologies in place to ward off cyber threats. In truth, it’s not even enough to have both of these. An effective cybersecurity program, rather, can only be achieved through a consistent and comprehensive strategy that […]

Five Points from SEC’s 2016 Business Continuity Guidance Update

        In June 2016, the SEC delivered a guidance update for registered advisers regarding how funds (and their service providers) plan for potential business disruptions. Following are key takeaways from Eze Castle Integration’s Certified BCP Planners on how hedge funds and private equity firms can meet the SEC’s expectations around business continuity practices. Capture All Essential Components of […]

How to Create A Cyber Security Culture + Employee Security Awareness

Did you hear the story of the Central Bank of Bangladesh that lost $100 million to hackers? It happened in February 2016 and goes like this. The bank believes Chinese hackers executed a hack that allowed $100 million to be taken from the bank’s foreign exchange account at the Federal Reserve Bank of New York. This is just the latest […]

Top 5 Reasons Managers Need a Research Management Software (RMS)

In today’s competitive market, research management software (RMS) has become a must-have integrated feature for investment management firms. Significant benefits offered via RMS have caused a ripple effect of soaring adoption rates across the global investment industry. In this article we’ll examine how adopting a research management solution could benefit your firm. Central Repository With offices, colleagues and clients spread […]

SEC Cybersecurity Hit List: 6 Items a Hedge Fund Better Have Covered

Earlier this week we presented at a Wells Fargo Prime Services breakfast briefing on cybersecurity. During the discussion, one panelist reminded attendees that the SEC has clearly defined (and communicated) its cybersecurity expectations. He recapped the following six areas advisers must have covered to demonstrate preparedness to regulators. 1. Risk Assessments 2. Governance 3. Training 4. Access Control 5. Vendor […]

Who Dares to be the next Ben and Jerry’s or Fundrise to Raise up to $50 Million through Regulation A+?

By David Drake   All startups need capital to innovate, launch, scale and grow. For companies seeking additional financing for their working capital or to expand its operations but do not yet want to risk an IPO, using the newly approved Regulation A+ is a possible alternative.   Ben & Jerry’s Homemade Inc. (BJICA) is one firm that was able […]

Why the New Regulation A+ Rules Will Rock the Crowdfunding World

By David Drake The US crowdfunding industry hit a major milestone on March 25 this year as the SEC passed into law Reg A+ under Title IV of the JOBS Act after years of prolonged deliberation and advocating by stakeholders.   Industry experts, entrepreneurs and investors have eagerly anticipated for the passing into law of this regulation to facilitate the […]