A Focus on the Continuing Changes -
Form PF, changes in CFTC exemptions, HF SRO push, incentive pay limits, the latest on the insider trading trials, plus a look at key features of the HF Manager ADV Part IIs just filed.
The latest session of our Hedge Fund Compliance Roundtable Breakfast was held on April 14, 2011, where we discussed serious new legal and compliance issues and some of the old standards which just keep coming at the industry.
Here are the hot issues we discussed:
- Post Mortem on the first round of ADV Part II Filings:
- Review of a sampling of the first quarter filings
- Assessment of alternative approaches to the tougher questions
- Form PF and CFTC
- Elimination of CFTC exemptions for CTAs and CPOs:
- What this could mean for you?
- Prospects for SEC/CFTC coordination?
- SRO: Is an HF SRO now more likely?
- SEC/Banking Incentive Pay Release: Which funds will be impacted
- Insider trading trial: An update on the Galleon related cases and the trial
To view a copy of the materials, please click here