Hedge Fund Regulation - White Papers

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Citi Prime Finance/ALaS Consulting: Dodd-Frank Private Fund Manager Regulation A New Era of Compliance

March, 2011

This white paper will assist chief compliance officers and chief operating officers in understanding broadly-expanded SEC registration requirements and in meeting regulator’s expectations around what constitutes a "robust" compliance program. It lays out the new registration requirements for U.S.-based and some international managers as well as the elements of a robust compliance program. It will also highlight some practical examples of what a successful compliance program must consider. The paper reviews specific areas of impact that the legislation has on private fund managers including:

  • What size firms will need to register with the SEC
  • How the SEC forms & filing requirements have changed
  • What categories of information will now be publicly available
  • Proactive steps managers can take to meet the July 21, 2011 filing deadline
  • What processes they must monitor & which records they must retain to be compliant
  • What information regulators can request regardless of whether a fund is registered
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