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Category Archives: compliance

Proposed FINRA Rule 5123: Enhanced Investor Protection or Unnecessary Regulatory Burden?

Originally proposed on October 5, 2011, FINRA Rule 5123 (the “Rule”) would, if adopted, significantly increase the regulatory burden on certain issuers, such as private funds, and FINRA members involved in the private placement of securities such as third party marketers, placement agents, solicitors and finders and may encourage issuers to rely on the services of unregistered intermediaries to facilitate […]

FLAIA Legislative Update | House Bill 1417

The Florida Senate has approved the Ring / Oliva Bill, which increases the Florida State Board of Administration’s cap on alternative investments from 10% to 20%.  Specifically, the House Bill 1417 now goes to Governor Rick Scott for his approval and signature. The Senate approved without any debate a proposal that will double the amount of money the State Board of Administration, […]

Hedge Fund Managers Beware the New Ides of March

This guest blog entry was submitted to us by McGladrey & Pullen financial services Once again the onus has been put on the financial community to be the eyes, ears and to a lesser extent an enforcement arm for various governmental agencies with respect to foreign investment by US persons and entities. Faced with the prospect that the previously announced  mandatory […]

Hedge Fund Cloud Security: Let’s Get Physical (and Virtual Too)

The transition to cloud computing services is at a high in the hedge fund industry and will continue to increase throughout 2012 and beyond.  Efficiencies, scalability and cost-savings are three of the most commonly listed benefits of moving to the cloud, while concerns around security remain one of the biggest perceived risks. The reality is that cloud security is a […]

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 […]