Category Archives: Business Issues

Hedge Fund Events February 2015

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list.

****

Date: February 1, 2015

Date: February 2-4, 2015

Date: February 3, 2015

Date: February 3, 2015

Date: February 3, 2015

Date: February 4, 2015

Date: February 4, 2015

Date: February 4, 2015

Date: February 4, 2015

Date: February 4-6, 2015

Date: February 6, 2015

Date: February 8-11, 2015

Date: February 9-11, 2015

Date: February 9-10, 2015

Date: February 9-11, 2015

Date: February 10, 2015

Date: February 11, 2015

Date: February 11, 2015

Date: February 11-13, 2015

Date: February 12-13, 2015

Date: February 17, 2015

Date: February 17, 2015

Date: February 17, 2015

Date: February 18-19, 2015

Date: February 19, 2015

Date: February 19, 2015

Date: February 19-20, 2015

Date: February 22-23, 2015

Date: February 23, 2015

Date: February 23, 2015

Date: February 23, 2015

Date: February 24-25, 2015

****

Cole-Frieman & Mallon LLP provides legal services for hedge fund managers and other groups within the investment management industry.  Bart Mallon can be reached directly at 415-868-5345.

Hedge Fund Events December 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****

Date: December 3, 2014

Date: December 3-4, 2014

  • Sponsor: RG & Associates
  • Event: Consortium West
  • Location: Los Angeles, CA

Date: December 3-4, 2014

Date: December 3-4, 2014

Date: December 4, 2014

Date: December 4, 2014

Date: December 4, 2014

Date: December 4, 2014

Date: December 4, 2014

Date: December 7-9, 2014

Date: December 7-9, 2014

Date: December 7-9, 2014

  • Sponsor: Opal Financial
  • Event: CLO Summit
  • Location: Dana Point, CA

Date: December 7-9, 2014

Date: December 8, 2014

Date: December 8, 2014

Date: December 8, 2014

Date: December 9, 2014

Date: Decemer 9, 2014

Date: December 9-10, 2014

Date: December 10, 2014

Date: December 10, 2014

Date: December 10, 2014

Date: December 11, 2014

Date: December 11, 2014

Date: December 11, 2014

Date: December 11, 2014

Date: December 11, 2014

****

Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry.  Bart Mallon can be reached directly at 415-868-5345.

Hedge Fund Events October 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****
Date: October 1, 2014

Date: October 1, 2014

Date: October 1-2, 2014

Date: October 1-2, 2014

Date: October 5-7, 2014

Date: October 6, 2014

Date: October 6-7, 2014

Date: October 6-7, 2014

Date: October 6-7, 2014

Date: October 6-8, 2014

  • Sponsor: Reuters Hedgeworld West
  • Event: HedgeWorld West 2014
  • Location: Half Moon Bay, CADate: October 7, 2014

Date: October 7, 2014

Date: October 7, 2014

Date: October 7, 2014

Date: October 7-8, 2014

Date: October 8, 2014

  • Sponsor: Terrapinn
  • Event: Trading Show
  • Location: New York, NY

Date: October 8, 2014

Date: October 8, 2014

Date: October 8, 2014

Date: October 8, 2014

Date: October 8-10, 2014

Date: October 9, 2014
Sponsor: Accredited Investors
Event: Accredited Investors Lead Generation Webinar
Location: Online via Skype

Date: October 9, 2014

Date: October 14-15, 2014

Date: October 14-16, 2014

Date: October 15, 2014

Date: October 15, 2014

Date: October 15, 2014

Date: October 15-16, 2014

Date: October 16, 2014

  • Sponsor: FTF News
  • Event:CAPCon
  • Location: New York, New York

Date: October 16-17, 2014

Date: October 17, 2014

Date: October 20-22, 2014

Date: October 20-23, 2014

  • Sponsor: Incisive Media
  • Event: Risk USA
  • Location: New York, NY

Date: October 21, 2014

Date: October 21, 2014

Date: October 21-22, 2014

Date: October 22, 2014

Date: October 23, 2014

  • Sponsor: FTF News
  • Event: ReCon
  • Location: New York, NY

Date: October 23, 2014

Date: October 23-24, 2014

Date: October 27, 2014

Date: October 27, 2014

Date: October 27-28, 2014

Date: October 27-29, 2014

Date: October 27-29, 2014

Date: October 27-30, 2014

Date: October 27-29, 2014

  • Sponsor: Big Data TechCon
  • Event: Big Data Techon
  • Location: San Francisco, CA

Date: October 28-29, 2014

Date: October 28-29, 2014

Date: October 28-30, 2014

Date: October 28-31, 2014

Date: October 30, 2014

****
Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345.

 

 

 

Hedge Fund Events September 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****

Date: September 8, 2014

Date: September 8, 2014

Date: September 8-9, 2014

Date: September September 8-9, 2014

Date: September 8-10, 2014

Date: September 8-10, 2014

Date: September 9, 2014

Date: September 9-10, 2014

Date: September 11, 2014

Date: September 11, 2014

Date: September 11, 2014

Date: September 14-16, 2014

Date: September 15, 2014

Date: September 15-16, 2014

Date: September 15-16, 2014

Date: September 16-17, 2014

Date: September 17-18, 2014

Date: September 17-18, 2014

Date: September 18, 2014

Date: September 18, 2014

Date: September 21-23, 2014

Date: September 22, 2014

Date: September 22, 2014

Date: September 22, 2014

Date: September 22-23, 2014

Date: September 24, 2014

Date: September 28-October 1, 2014

Date: September 29, 2014

Date: September 29-30, 2014

Date: September 29-30, 2014

Date: September 29-30, 2014

Date: September 29-30, 2014

Date: September 29-October 1, 2014

Date: September 30-October 1, 2014

****

Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345.

Hedge Fund Events August 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****

August 4-5, 2014

August 5, 2014

August 5-6, 2014

August 6, 2014

August 6-9, 2014

August 7, 2014

August 12, 2014

August 12, 2014

August 12, 2014

August 13, 2014

August 14, 2014

August 14, 2014

****

Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry.  Bart Mallon can be reached directly at 415-868-5345.

Hedge Fund Events March 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****

March 3

March 3-4

March 3-4

March 3-5

March 4-5

March 4-5

March 5-7

March 6

March 6

March 6

March 6

March 6

March 6

March 11

March 11-14

  • Sponsor: FIA
  • Event: Boca 2014
  • Location: Boca Raton, FL

March 12

March 12

March 12

March 12-13

March 13-14

March 19

March 19

March 24-25

March 24-25

March 24-25

March 24-25

March 24-26

  • Sponsor: WBR
  • Event: FIMA 2014
  • Location: Boston, MA

March 25-26

March 25-26

March 25-26

March 26-28

March 31

March 31-April 2

March 31- April 1

****
Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345.

 

Hedge Fund Events February 2014

The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list.

****

February 3-5

February 4

February 4

February 4

February 4

February 6

February 8-10

February 11

February 11

February 11-12

February 12

February 12

February 14

February 19

February 19

February 19

February 19-20

February 24

February 24

February 24

February 24

February 24

February 24-26

February 25

  • Sponsor: WBR
  • Event: Trade Tech
  • Location: New York, NY

February 25-26

February 25-26

February 26

February 26-27

February 26-28

February 26-28

**** 

Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345

Hedge Fund Events January 2014

The following are various hedge fund events happening this month. Please contact us if you would like to add your event to our list.

****

January 6-7

January 7-9

January 8

January 9

January 9

January 14 

January 14-15

January 14-15

January 14-16

January 15

January 15

January 15

January 15

January 16

January 23-24

January 23-24

January 27-29

January 29

January 29-31

January 30-31

****

Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345.

Investment Management Law Weekly Overview – Week Ending November 22

Please see below our notes on the past week. If you have questions on any of these items, please feel free to contact us.

****

Regulation S-ID Identity Theft Red Flag Rules went into Effect

On Wednesday the new Red Flag rules went into effect for many SEC and CFTC registered managers. In general, certain managers are now required to have identity theft programs in place which will include: staff training for appearance of red flags, procedures for dealing with red flags, certification of procedures from administrators and/or custodians dealing with investor/customer accounts. Managers who have not yet discussed program implementation with their outside counsel or compliance firm should reach out with respect to this issue. For more information, please see our post on Regulation S-ID Identity Theft Rules.

IARD Renewal – Fees Due by December 13, 2013 

SEC and state registered investment advisers will have until December 13th of this year to pay their renewal fees for 2014. To begin, managers will need to retrieve their preliminary statement to find out the amount they owe. Managers will then need to use the IARD’s new E-Bill system (which replaces the old E-Pay system) to pay the total amount due by December 13, 2013, the renewal payment deadline. Firms should submit their electronic renewal payments no later than December 10 in order for payment to post to the renewal accounts by the deadline. For more information, please see the IARD Renewal Checklist.

MF Global Ordered to Fully Reimburse Customers; Subject to $100 Million Fine

It now appears as if all of the futures customers at MF Global will be fully reimbursed. A federal court in New York recently ordered MF Global to pay over $1 billion in restitution to customers. The court also imposed a $100 million civil penalty on the company. For more information, please see the CFTC press release.

Manager Fined $250,000 for Numerous Compliance Violations Including Misstatements in PPM

It is vitally important that fund managers accurately describe their operating procedures in their fund offering documents. This includes such matters as valuation on fund assets. Additionally, managers need to be vigilant in making sure that statements made in the offering documents continue to be accurate. The SEC recently announced the issueance of an order that found, among other items, that the management company failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations applicable laws and regulations concerning three important areas of private fund management: (i) valuation of fund assets, (ii) the accuracy of disclosures to fund investors about the valuation practice, and (iii) cross trades between clients. In addition to the monetary penalty, the manager was censured and is now required to provide a copy of the SEC order to certain of its clients and investors. The full complaint can be found here.

Enforcement Actions

SEC

• There were a number of enforcement actions at the SEC level for run-of-the-mill financial crimes such as preying on elderly investors and receiving fraudulent kick-backs (note: interestingly, the SEC also charged the firm with aiding and abetting another firm with violation of the SEC’s custody rule).  Additionally, the SEC charged another tipper in the Galleon insider-trading scandal.

CFTC

Forex Pool Fraud – November 19, 2013. Specifically, the Order finds that, from at least June 2010 through April 2013, Prescott fraudulently solicited individuals to invest in Cambridge’s off-exchange forex pool and misappropriated $455,098 of pool participants’ monies, using some of those funds for air travel, hotel accommodations, and gambling. According to the Order, Prescott defrauded pool participants and prospective pool participants by misrepresenting the risks involved in forex trading and executing demand promissory notes in their favor that promised the repayment of the note amount and monthly interest payments, knowing or recklessly disregarding that he could not make those payments by his forex trading. Press release can be found here.

****

Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive, and cost-effective legal solutions for financial services matters. Bart Mallon can be reached directly at 415-868-5345.

Hedge Fund Events November 2013

The following are various hedge fund events happening this month. Please contact us if you would like to add your event to this list.

****

November 4

November 4

November 4

November 4-5

November 4-6

November 5

November 5-6

November 5-7

November 6

November 6

  • Sponsor: Mankoff & Co.
  • Event: Fireside Chat
  • Location: Chicago, IL

November 6

November 6

November 6

November 6-7

November 7

November 7

November 7

November 7

November 7

November 7-8

November 11

November 11-12

November 12

November 12

November 13

November 13-14

November 14

November 14

November 19

November 19

November 19-20

November 19-20

November 19-22

November 20

November 20

November 20

November 20

November 20-21

November 21

November 21

****

Cole-Frieman & Mallon LLP provides legal services for hedge fund managers and other groups within the investment management industry. Bart Mallon can be reached directly at 415-868-5345.