Compliance Corner Q3‑2022: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

This twenty-first installment of the Hedge Fund Law Report’s quarterly compliance update, authored by Dan Campbell and Joey Martinez, consultants for ACA Group (ACA), highlights upcoming filing deadlines and reporting requirements that fund managers should be aware of during the third quarter – and one key compliance deadline for the fourth quarter. This article also includes information on the SEC’s Spring 2022 Regulatory Agenda; a recent SEC settlement concerning violations of Rule 105 of Regulation M; and certain results from ACA’s 2022 Investment Management Compliance Testing Survey. For more from ACA, see “Navigating Trade and Communications Surveillance Challenges” (Apr. 21, 2022).

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