private fund

Chairman Clayton States the SEC will Continue to Focus on Hedge Fund Compliance

On November 29, 2017, HFM Week reported that at the MFA Outlook event held in New York City, U.S. Securities and Exchange Commission ("SEC") Chairman Jay Clayton confirmed that the agency will continue to focus on hedge fund managers and their compliance policies and procedures. Chairman Clayton’s statement appears to be in line with other agency communications and reports we have seen this year.

Compliance Corner Q4-2017: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

While the fourth quarter is often the busiest one for regulatory filings and fulfilling other compliance obligations, hedge fund managers should ensure that their compliance programs finish the year on a strong note and that key compliance processes are not neglected.

2016 Compliance Survey for Alternative Fund Managers

Are you interested in how your firm's approach to its compliance program compares to your peers? Ever wonder what controls other private fund managers have implemented to safeguard client assets? Are you curious about what practices or controls peer firms have implemented surrounding personal trading? Are your anti-money laundering practices in line with other alternative fund managers?