transcript   Transcript

Hedge Fund Registration and Compliance

Recorded on: Sep. 14, 2017
Running Time: 01:30:51

Full Transcript:

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Taken from the Web Program Hedge Fund Management 2017 recorded September 2017 in New York.

Hedge Fund Registration and Compliance [01:30:51]
  • Registration requirements for hedge fund managers
  • Operational issues and compliance overview
  • Compliance hot topics

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Scott H. Moss and George Danenhauer, Lowenstein Sandler, Investment Management, SEC Amends Form ADV and Recordkeeping Rules (September 7, 2016)
    Edward S. Nadel
  • Ethan L. Silver and Scott H. Moss, Lowenstein Sandler, Investment Management, OCIE Announces 2017 Examination Priorities (January 24, 2017)
    Edward S. Nadel
  • Scott H. Moss, Ethan L. Silver, Andrew E. Graw, Brian A. Silikovitz, George Danenhauer, and Lesley P. Adamo, Lowenstein Sandler, Investment Management, Year-End Developments and Compliance Checklists (January 26, 2017)
  • Ethan L. Silver and Scott H. Moss, Lowenstein Sandler, Investment Management, SEC Staff Issues Guidance Update on Robo-Advisers (March 1, 2017)
    Edward S. Nadel
  • Staff of the Investment Adviser Regulation Office, Division of Investment Management, U.S. Securities and Exchange Commission, Regulation of Investment Advisers by the U.S. Securities and Exchange Commission (March 2013)
    Edward S. Nadel

Presentation Material

  • Hedge Fund Registration and Compliance
    Edward S. Nadel, Mark Polemeni, Nancy Wang
Edward S Nadel ~ Lowenstein Sandler LLP
Mark Polemeni ~ Chief Compliance Officer and Associate General Counsel , Citadel
Nancy Wang ~ Managing Director, Adherence, LLC
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