Category Archives: Webinars

Webinar Replay: The New Pay-to-Play Rules

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Earlier this year, the SEC adopted anti-fraud rule 206(4)-5 (the “Pay to Play Rule”) which serves to limit political contributions and “pay to play” activities. Prior to the effective date of this rule, all investment advisers should ensure that they build out comprehensive political contribution reporting and pre-clearance policies.

On November 11th HedgeOp CEO Bill Mulligan to a look at the “Pay to Play Rule” with a focus on the following areas:

  • What are the basics of the Rule and who does it apply to?
  • What types of policies should advisers build out?
  • How should political contribution reporting and pre-clearance work?
  • When does the Rule become effective?
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Webinar Replay: The New Form ADV Part 2

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The SEC recently published the adopting release containing the changes to the new Form ADV Part 2. The Form ADV is the brochure that all SEC registered advisers are required to complete and update. The format of the new ADV Part 2, which will be publicly available, has changed from the old “check the box” format, to a new, more “narrative” plain English approach.

On September 30, 2010, HedgeOp Compliance CEO Bill Mulligan lead a webinar focusing on the following questions: (i) what are the key changes between the old and new forms?; (ii) what is the format of the new form and what content does it include?; (iii) when does the new ADV Part 2 need to filed with the SEC?

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

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Download the new ADV Part 2 form and instructions

Webinar: SEC Registration & Compliance for Private Fund Advisors

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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.

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Webinar: Code of Ethics Compliance

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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.

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Webinar: Conducting an Annual Compliance Review

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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.”

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Webinar: Reg S-P- Keeping Client Data Secure

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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.

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Webinar: Preparing for an SEC Audit

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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.

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