Compliance Corner Q4‑2021: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

This eighteenth installment of the Hedge Fund Law Report’s quarterly compliance update, authored by ACA Group (ACA) consultants Joey Martinez and Dan Campbell, highlights upcoming filing deadlines and reporting requirements that fund managers should be aware of during the fourth quarter. This article also discusses the testimony of SEC Chair Gary Gensler before the U.S. Senate Committee on Banking, Housing and Urban Affairs; the SEC’s scrutiny of the use of “alternative data”; a recent SEC case charging a former employee of a biopharmaceutical company with “shadow trading”; and a risk alert issued by the SEC’s Division of Examinations concerning fixed income principal and cross trading practices. For coverage of a recent ACA program, see “Recent Regulatory and Market Developments Affecting Digital Asset Funds and Digital Securities” (Jul. 22, 2021).

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