Hedge Fund Law Blog


"A project devoted to the dissemination of basic hedge fund information for hedge fund managers, hedge fund start-ups and hedge fund investors. The blog is also devote to helping hedge fund managers consider both the legal and business aspects of running a hedge fund."

Author: Bart Mallon is a licensed attorney based in San Francisco.

Blawg Related Categories: Corporate Law • Securities Law

Recent Posts from Hedge Fund Law Blog


  • CPO Reporting Requirements | Commodity Pool Operator Compliance

    CFTC Regulation 4.22 Overview CFTC registered commodity pool operators have a number of regulatory and compliance issues to be aware of.  In addition to a having a compliance program which addresses the business and regulatory…

  • CFTC Amends CPO Reporting Regulations

    CFTC Regulation 4.22 Amended Earlier this year the Commodities Futures Trading Commission (“CFTC”) proposed amendments to certain Part 4 Regulations.  Last week, after a lengthy comment and revision period, the CFTC published the amendments in…

  • Hedge Fund Manager Registration to Cost Taxpayers $140 Million (at least)

    CBO Calculates Cost of House Hedge Fund Bill This past week the Congressional Budge Office (“CBO”) released a cost estimate of H.R. 3818, the Private Fund Investment Advisers Registration Act of 2009.  In a number…

  • Hedge Funds and Insider Trading after Galleon

    By Bart Mallon, Esq. (www.mallonpc.com) High Profile Case Highlights Issues for Hedge Fund Managers to Consider Insider trading is now an operational issue for hedge fund managers.  The high profile insider trading case involving RR…

  • Insider Trading Overview

    In light of the recent focus on insider trading, we are publishing the SEC’s discussion on Insider Trading which can also be found here.  The information below contains a broad overview of some of the…

  • Hedge Fund Operations During a Pandemic

    Thoughts on Business Continuity Planning Over the past week, I have attended a couple of interesting panel discussions on the hedge fund industry.  At these events, one of the common themes was that the investment…

  • Section 204A | Investment Advisers Act of 1940

    Section 204A — Prevention of Misuse of Nonpublic Information Every investment adviser subject to section 204 shall establish, maintain, and enforce written policies and procedures reasonably designed, taking into consideration the nature of such investment…

  • Secondary Loan Market | LSTA Conference

    Trends for Distressed Debt Hedge Fund Managers Distressed debt hedge funds often face a number of legal issues with regard to their investments.  Post-Lehman, understanding the rights and liabilities attached to the actual contracts has…

  • Forex PAMM Accounts

    By Bart Mallon, Esq. (www.mallonpc.com) State Securities Agency Calls PAMM Accounts Securities Forex investment managers who offer forex separately managed account programs need to be aware of the risks of offering trading programs which use…

  • Series 79 Training Materials | Series 79 Study Guide

    Information on Study Materials and Classes for Series 79 Exam One of the inquires I receive most often about the Series 79 exam involves study materials.  As of right now I have not heard of…