Compliance Avenue

With the Financial Regulatory Reform Bill having been recently signed into law, 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 Wednesday July 28th, HedgeOp Compliance CEO Bill Mulligan and other members of HedgeOp’s professional staff held a practical and informative webinar discussing 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 watch the seminar and download the presentation materials below.

Download Presentation Materials

Rule 204A-1 under the Advisers Act (the “Code of Ethics Rule”) requires that all SEC-registered investment advisers establish, maintain and enforce a written Code of Ethics.

Last week, HedgeOp Compliance CEO Bill Mulligan conducted a seminar entitled: Code of Ethics Compliance: Understanding the Rule and Building an Infrastructure as part of HedgeOp’s Excellence in Compliance Seminar Series.

This seminar was focused on helping advisers overcome the burden of the Code of Ethics Rule by teaching about the specific provisions and reporting requirements that must be adhered to. Additionally, the seminar looked at how innovative technology can help automate many aspects of the Code of Ethics Rule and cut down on your paperwork. This seminar is not only geared towards SEC-registered managers, but also unregistered managers who have implemented (or want to implement) a Code of Ethics as a form of “best practice.”

You can watch the seminar and download the presentation materials below.

Download Presentation Materials

Advisers Act Rule 206(4)-7 requires that SEC-registered hedge fund managers conduct an annual compliance review of their compliance infrastructure and procedures. In adopting the Rule, the SEC did not specify exactly what the annual review should entail.

Today, HedgeOp Compliance CEO Bill Mulligan taught a webinar on “Conducting an Annual Compliance Review” as part of HedgeOp’s Excellence in Compliance seminar series.  This seminar looks 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.   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.”

Download Presentation Materials

Reg S-P has been mentioned quite frequently on this site. In March 2008, the SEC released a set of proposed amendments to Regulation S-P which seek to require registered investment advisers to enhance the protection of consumer financial information. If adopted, the proposed amendments would require advisers to expand existing safeguards into a more expansive “information security program”.

HedgeOp Compliance CEO, Bill Mulligan conducted a webinar on these proposed changes, specifically focusing on: helping investment adviser’s understand the expanded requirements under the proposal and discussing the hot button topics such as: (i) the identification of reasonably foreseeable risks at your firm; (ii) designing information safeguards to control/manage the identified risks; (iii) setting up a plan for testing and training for staff; (iv) evaluating the programs of your service providers; and (v) developing and reviewing your procedures related to unauthorized access of confidential data.

You can view a video recording of this webinar and download the presentation materials below.

Download webinar presentation

For all of you SEC-registered advisers out there, below you can view a 30-minute educational webinar on how to properly prepare for an SEC audit.   The webinar was taught by HedgeOp Compliance, LLC CEO Bill Mulligan and was originally held as part of HedgeOp’s Excellence in Compliance seminar series on September 30th, 2009.   You can also download a copy of the presentation below.

Download webinar presentation