As of the date we published this list of important hedge fund articles, the Hedge Fund Law Blog has over 600 posts. In order to highlight some of the more important items on this website we have created the following list of articles which we think will be useful for most of our readers. Articles without links will be forthcoming and we look forward to hearing your feedback on what information you would like to see in the future. The categories include:
- Basics & Structure
- Offering Documents
- Service Providers
- Investment Adviser Regulation
- Futures & Commodities Regulation
- Marketing & Advertising
- Operational Issues
We would also like to remind managers who are thinking of starting a fund to view our Start Up Presentation.
BASICS & STRUCTURE
- What is a Hedge Fund?
- Mutual Funds v. Hedge Funds v. Private Equity v. Venture Capital
- Domestic Hedge Funds
- Offshore Hedge Funds
- Parallel Hedge Fund Structure
- Master-Feeder Fund Structure
- Mini-Master Feeder Fund Structure
- Offshore Director Requirements
- Offshore Jurisdictions
- Segregated Portfolio Companies
- Offshore Hedge Fund Timeline
- Separately Managed Accounts (SMAs)
- Reg D Overview
- New York Form 99
- Hedge Fund Investors
OFFERING DOCUMENTS
- Hedge Fund Offering Documents
- Fees
- Key Terms
- How to write an investment program
- How to write a fund manager bio
- Revising Hedge Fund Offering Documents
- Side Letters
SERVICE PROVIDERS
INVESTMENT ADVISER
- Investment Adviser Regulation Overview
- How to Register
- Investment Adviser Licenses / Proficiency Exams
- State Registration Exemptions
- Investment Adviser Compliance Manual
- Books and Records
- Developing Compliance Programs
- Insider Trading
- Business Continuity & Disaster Recovery Plans
- Voting Client Proxies
- Email Retention & General Recordkeeping
- Mock SEC Examinations
- Consequences for Breaking Rules
- Form ADV-W
- Investment Advisor Only Issues
FUTURES & COMMODITIES
- How to Register as a CTA or CPO
- CTA Registration
- CPO Registration
- CTA Registration Exemption
- CPO Registration Exemption
- NFA Branch Office Designation & Requirements
- 4.7 CTA
- 4.7 CPO
- CFTC Regulation 4.8
- CTA/ CPO Licenses & Proficiency Exams
- CPO Reporting Requirements
- NFA Rule 4.22 Filings
- NFA Annual Updating Requirement
- Mock NFA Examinations
- CTA & CPO disclosure documents
- Submitting to NFA
- NFA Fingerprint Cards
- CTA Lead List Basics
- NFA Self-Examination Checklist
- CPO Annual Financial Report Filing
- Foreign Language Disclosure Documents
- CPO Quarterly Reporting – NFA Rule 2-46
- Disclosure Document Guidance – Manager Bios
MARKETING & ADVERTISING
- How to Name a Hedge Fund
- Hedge Fund Domain Names
- General Rules
- Hedge Fund Pitchbooks
- Hedge Fund Tearsheets
- Hedge Fund Logo
- Hedge Fund Websites
- Performance Reporting
- How to Raise Assets
- Social Media
- Third Party Marketing
- Hedge Fund Databases
- Capital Introduction
- Building a Strong Brand Identity
- Other
OPERATIONAL ISSUES
- Establishing Bank Accounts
- Employment Issues for Fund Managers
- Credit Facility
- Short Sales
- Styles/ Investment Programs
- Soft Dollars
- New Issues
- Leverage
- Due Diligence Questionnaires
- Silent Ownership Issues (for IA/CTA/CPO)
- Section 13F Filings
- Schedule 13D
- Liquidation
- AML
- How to Name Your Hedge Fund
- Reypothication and the Prime Brokerage Agreement
- Margin Lock-Ups
- Bloomberg Terminals
- 13D and 13G Filings
- Conversion of 3c7 to 3c1
- Hedge Funds and Twitter
- NFA Provides Social Networking Compliance Guidance
- Insider Trading
- Tax Issues
- GIPS Compliance Information for Hedge Funds
- Leasing Office Space
ERISA
- ERISA Overview & 25% Threshold (Quick Overview)
- ERISA and Hedge Funds Longer Overview
- ERISA Bonding Requirement
- Purchasing Fidelity Bond
- DOL Asks ERISA Plans to Monitor Hedge Fund Valuation Practices
- IRA Investments
LAWS & REGULATIONS
- Hedge Fund Laws Overview
- Advisers Act
- Exchange Act
- 28(e)
- Investment Company Act of 1940
- 1933 Act
- Ranking Authority
- State Law Issues
OTHER ISSUES
- How to Invest in a Hedge Fund
- Secondary Hedge Fund Market
- Insurance for Hedge Fund Management Companies
- Fund Appreciation Rights
- Asset Valuation by the General Partner
- Starting Hedge Fund Primer
- Hedge Fund Registration Exemption
- Incubator Hedge Funds
- Affiliated Broker Dealer
- Thoughts on HF offering documents
- Hedge Funds Care
- Best Practices Full Report
- MFA Sound Practices for Hedge Funds
- Women in the Hedge Fund Industry
- 100 Women
- Opportunities
- Data Warehouse Implementation
- UCITS Hedge Funds
- Audit Post Madoff
- Prop Trading Shops
- FAS 157
- New York LLC Publication Requirement
- Advantage of Hedge Funds over SMAs
- Question on investors in a hedge fund
- Regulation D Interpretive Release
FOREX
- Forex Dealer Capital Requirements
- Forex and NFA Compliance Rule 2-29
- Interpretive Notice on Advertising
- Passing the Series 34
- MT4
- Forex PAMM Accounts
COLE-FRIEMAN & MALLON LLP QUARTERLY NEWSLETTERS
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Cole-Frieman & Mallon LLP, a hedge fund law firm, sponsors the Hedge Fund Law Blog. Bart Mallon, Esq. can be reached directly at 415-868-5345.