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
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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…
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CTA Lead List Basics
By Bart Mallon, Esq. (www.mallonpc.com) “Purchased Lead Lists and How to Use Them” A good resource for CTAs that are actively trying to raise money are lead lists – lists of names and contact information…
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Another PPIP Closing
The following Treasury press release can be found here. Please also see the article on earlier PPIP closings. **** Treasury Announces Additional initial closing of Legacy Securities Public Private Investment Fund November 5, 2009 TG-357…
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Hedge Fund Investment Adviser Insurance
E&O or D&O Insurance For Registered Investment Advisers Yesterday I had the opportunity to talk with an insurance broker whose business focuses on providing insurance to registered investment advisers and hedge fund managers. This article…
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Public Comments on SEC Proposed “Pay to Play” Rules
SEC Proposed Pay to Play Rules Draw Many Comments Earlier this year the SEC proposed so-called “pay to play” rules which would restrict SEC registered investment advisers from managing money from state and local governments…
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Hedge Fund Events November 2009
The following are various hedge fund events happening this month. **** November 2 Sponsor: University of Oregon Lundquist College of Business Securities Analysis Center Event: Portland Alternative Investment Association - Educational Event Location: Portland, OR…
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Series 79 Opt In Period Begins
Investment Banking Representative Exam Goes Live Today marks the first day that current Series 7 licensed representatives of BDs who engage in “investment banking activities” can opt in to the Series 79 license. Current Series…
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CTA Regulatory and Compliance Discussion
By Bart Mallon, Esq. (www.mallonpc.com) “Compliance in a Changing Environment” As we are all well aware both the investing and the regulatory environments have experienced a dramatic refocusing on compliance and related issues in the…
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Data Warehouse Implementation | Hedge Fund IT Solutions
Deloitte & Netik Conference - Asset Management: Managing and scaling your reference, market and portfolio data This article is part of our guide to Hedge Fund Business & Technical Issues. On October 29, 2009 I…
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Update on H.R. 3818 | Hedge Fund Registration Bill
As has been reported by a number of groups the Private Fund Investment Advisors Act of 2009 was approved by the House Financial Services Committee by a vote of 67-1. The proposed bill underwent a…