Compliance Avenue

HedgeOp Compliance, LLC will be holding a free webinar next week on July 28th called: “Passage of Financial Reform Legislation – Next Steps to Registration and Compliance for Private Fund Advisors”

The webinar will look at the following key areas:

• What are the mechanics of SEC registration? What does the process involve?
• The top 10 things Private Fund Advisors need to know about developing an Advisers Act compliance program.
• How can technology help you in the process?

You can view more information and register for the event here.

With the regulatory reform package having passed through conference committee and a signed bill expected shortly, advisors to hedge funds and private equity funds need to be aware and fully informed about the SEC registration process: what it means for their business and how to prepare. 

On July 28th, Join HedgeOp Compliance CEO Bill Mulligan and other members of HedgeOp’s professional staff for a free webinar that will discuss the following key areas:

• What are the mechanics of SEC registration? What is the process involved?
• The top 10 things to think about in developing an Advisers Act compliance program.
• How can technology help you in the process?

More information and registration is available here.

HedgeOp Compliance, LLC will be holding a free webinar next week on March 24th on the topic of: “Conducting an Annual Compliance Review.”

This seminar will look at HedgeOp’s suggested method for conducting an annual review including: review of compliance inventory items, conflicts of interest of review, use of employee and service provider questionnaires and more. Please note that this seminar is not only geared towards SEC-registered managers, but also unregistered managers looking to conduct an annual compliance review as a form of “best practice.”

You can view more information and register for the event here.

HedgeOp Compliance, LLC will be holding a free webinar on March 24th on: “Conducting an Annual Compliance Review.”

This seminar will look at HedgeOp’s suggested method for conducting an annual review including: review of compliance inventory items, conflicts of interest of review, use of employee and service provider questionnaires and more.  Please note that this seminar is not only geared towards SEC-registered managers, but also unregistered managers looking to conduct an annual compliance review as a form of “best practice.”

You can view more information and register for the event here.

We wish all of our readers a healthy and happy holidays!

If you find yourself in or around the Greenwich, CT area next week, Bowne & Co. along with HedgeOp Compliance and Hedge Connection are sponsoring a free hedge fund compliance lunch seminar: “Pending Regulations for Hedge Funds, With a Special Focus on Managing Your Compliance Program.”

The keynote speaker will be Arthur Laby, Associate Professor, Rutgers University School of Law – Camden and former SEC Assistant General Counsel.

You can find more information and register online, here.

HedgeOp Compliance, LLC will be holding a free webinar on September 30th on: “Staying Prepared for an SEC Audit and Building a Culture of Compliance.”

This seminar focuses on identifying the areas of your business that are likely to be scrutinized during an SEC examination and provide guidance on how you can stay prepared for an SEC audit. In addition, we will offer practical advice on how your firm can build a compliance program that will clearly demonstrate your firm commitment to building and maintaining a “culture of compliance.”

You can view more information and register for the event here.

Compliance Avenue is a blog dedicated to providing insightful commentary, news and information about all things related to Investment Adviser compliance.  The site is written by the incredibly knowledgeable senior staff of HedgeOp Copmliance, LLC, a firm specializing in providing compliance and operational support the investment advisory community.

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