Over the past few months I have written extensively about the new regulatory environment and the likelihood that many hedge fund managers will need to register with the SEC within the next year or so (assuming that Congress passes one of many proposed registration bills). Anticipating this requirement, my team and I at Cole-Frieman & Mallon LLP have been preparing for registrations and as part of that preparation I am attending the IA Compliance Fall Conference today at the Loews Philadelphia Hotel.
The conferne is designed to provide lawyers and compliance professionals with more context on how firms need to deal with compliance issues in this hype-sensitive environment. Today’s conference hosts a number of renowned speakers, including top SEC officials:
- John Walsh – SEC’s Office of Compliance Inspectrions and Examinations
- Gene Gohlke – OCIE’s Associate Director
- Andrew Donohue – director of the SEC’s Division of Investment Management
There are a number of items on the adgenda which I am particularly excited to hear about and discuss with my colleagues including some of the hot-button issues and recent reports from SEC examinations. I will be taking notes throughout the event and will be writing blog posts about the conference in the coming days. I will also be providing more information on Mallon P.C.’s investment adviser registration and compliance services for hedge fund managers.
Other attendees include representatives from: The Carlyle Group; Westover Capital Advisors, LLC; Oppenheimer Funds, Inc; State Street; Penbrook Management, LLC; Trilogy Capital; Bridgewater Associates; AXA Investment Managers; Strategic Value Partners, LLC; Pershing Square Capital Management; Guggenheim Advisors, LLC; Lone Pine Capital; Parkway Advisors; Vicis Capital LLC; The Swathmore Group; Abbott Capital Management, LLC; Redwood Investments; Tocqueville Asset Management; RNK Capital LLC among others.
- Investment Adviser Registration
- Investment Adviser Overview
- Proposed Investment Adviser Custody Rule
- Investment Adviser Pay to Play Rules (Proposed)
- Inspector General Madoff Report
- Series 65 Exam
- Investment Adviser Books and Records Requirement
Bart Mallon, Esq. runs hedge fund law blog and has written most all of the articles which appear on this website. Mr. Mallon’s legal practice is devoted to helping emerging and start up hedge fund managers successfully launch a hedge fund. If you are a hedge fund manager who is looking to start a hedge fund, or if you have questions about investment adviser registration with the SEC or state securities commission, please call Mr. Mallon directly at 415-296-8510.