Hedge Fund Blogs From HedgeCo.Net


Category Archives: hedge fund news

Matt Okolita to Participate at HFA Event on June 3, 2015

May 20, 2015 Dear Friends, CounselWorks is pleased to announce that Matt Okolita, Managing Director, will participate in the HFA’s New York Symposium’s panel discussion on Wednesday, June 3, 2015. Topics include: Avoiding common mistakes that lead to hedge fund failures; Understanding what and when in a fund’s lifecycle to in-source and out-source; Aligning management, internal teams and external third-party […]

SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers

May 20, 2015 Dear Friends, Today, the SEC proposed new rules, forms and amendments which will require additional disclosures from investment companies and investment advisers. Investment company proposals include: Form N-PORT: a new form requiring a monthly report of the fund’s investments; Form N-CEN: a new form requiring an annual report of census-type information, replacing the current Form N-SAR; Amendments […]

Reminder: Form BE-10 Filing Deadline May 29, 2015

May 14, 2015 Dear Friends, The deadline to file Form BE-10, Benchmark Survey of U.S. Direct Investment Abroad, is May 29, 2015 or June 30, 2015, depending on the number of foreign affiliates to be reported. U.S. persons (entities or individuals) with a direct or indirect ownership or control of more than 10% of voting stock of a non-U.S. business […]

SEC Focus on Private Equity

May 14, 2015 Dear Friends, Yesterday, Marc Wyatt, Acting Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE), spoke at an industry event regarding the OCIE’s focus on private equity, including but not limited to: Real Estate Advisers: adequate disclosure of fees and expenses, particularly in connection with charging back the cost of employees who provide asset management […]

SEC Announces Compliance Outreach Program Seminars

April 30, 2015 Dear Friends, Today, the SEC announced the schedule for its Compliance Outreach Program – regional seminars specifically for investment adviser and investment company senior officers. The seminars will include an overview of the SEC’s National Exam Program, as well as a discussion of current topics of interest for the Division of Investment Management, and the Enforcement Division’s […]

SEC Releases Cybersecurity Guidance

Dear Friends, The SEC released cybersecurity guidance, specific to registered investment advisers and registered investment companies. As summarized below, the SEC suggests advisers and funds:  Periodically assess the nature of data collected; internal and external threats; existing security controls; the impact of a breach, and the effectiveness of the governance structure for the management of cybersecurity risk. Develop a strategy to […]

Niederhoffer brings Placido Domingo to a 1200 person sold out Opera Gala in Honor of the late Maestro Julius Rudel

By David Drake [New York City, March 9th, 2015] Every one of the Rose Theater’s 1100 seats was filled for a opera concert produced by NYCO Renaissance, an effort to revive the defunct New York City Opera, for a two-hour concert and later a gala dinner celebrating the life of the opera’s late Maestro Julius Rudel. My entrepreneurial endeavors to build […]

SEC Chair Endorses Uniform Fiduciary Standard

March 18, 2015 Dear Friends, SEC Chair Mary Jo White announced that she would like the SEC to develop a new rule, requiring brokers to have a fiduciary duty akin to investment advisers – to hold clients’ interests ahead of their own, rather than just making “suitable” recommendations. Additionally, Chair White endorsed the concept of third party providers supplementing the […]

SEC will Target Conflicts of Interest

March 10, 2015 Dear Friends, In a recent speech by Julie M. Riewe, Co-Chief of the Asset Management Unit (AMU), Division of Enforcement, Ms. Riewe, categorized the AMU’s 2015 priorities. The priorities are categorized by investment vehicle, Ms. Riewe stated the AMU will focus on: Hedge Funds: Undisclosed Fees; Undisclosed Conflicts: Related-Party Transactions, Valuation Issues, and Use of Friendly Broker […]

Reminder: CFTC Exemption Filing Deadline is 3/2/15

March 2, 2015 Dear Friends, Any entity claiming an exemption or exclusion from CPO or CTA registration, pursuant to CFTC Regulations  4.13, 4.5 or 4.14, must reaffirm the exemption(s) by Monday, March 2, 2015. Please click here for instructions on how to file an exemption through the NFA’s Electronic Exemption System. Please contact us with any questions at (212) 867-0200 […]