Navigating the Regulation of Hedge Fund Marketing
By HedgeCo Archives - April 29th, 2008
By JAMES R. HEDGES, IV, PARTNER, AND CHARLOTTE LUER, PARTNER, LJH FINANCIAL MARKETING STRATEGIES, AND LUCINDA O. MCCONATHY, PARTNER, AND PATRICIA C. O’PREY, PARTNER, RICHARDS KIBBE & ORBE LLP
Marketing a hedge fund involves a myriad of considerations, including compliance not only with the regulatory requirements and restrictions of the jurisdiction in which the hedge fund … Continue Reading
Regulation D
By Julie Scuderi - April 29th, 2008
According to Wikipedia, Regulation D is a regulation of the U.S. Securities and Exchange Commission and is also a term for an investment strategy, mostly associated with hedge funds, based upon that regulation. It provides a “safe harbor” from the general requirement that all offerings of securities be registered with the SEC, and also exempts … Continue Reading
Hedge Fund Marketing
By HedgeCo Archives - April 29th, 2008
A hedge fund manager and/or any person acting on its behalf may not solicit an investment into a hedge fund through any type of “general solicitation” or general advertisement” … Continue Reading
MSRB Clarifies Obligations Under Investor Protection Rules
By Robert V. Cornish - April 29th, 2008
On January 22, 2008, the Municipal Securities Rulemaking Board (MSRB) issued a notice to clarify the obligations of broker/dealers and other municipal bond dealers in regard to investor protection rules as applied to transactions in insured municipal securities (the Notice). In summary, those broker/dealers and others who effect transactions in insured municipal bonds need to … Continue Reading
Making your website SEC compliant
By HedgeCo Archives - April 29th, 2008
Internet websites have to be careful with respect to general solicitations and advertising, and thus must limit the content of the website in addition to the people who have access to the site. Hedge … Continue Reading
