Compliance Corner Q3‑2024: Regulatory Filings and Other Considerations Hedge Fund Managers Should Note in the Coming Quarter

This twenty-ninth installment of the Hedge Fund Law Report’s quarterly compliance update highlights upcoming filing deadlines and reporting requirements fund managers should be aware of during the third quarter of 2024. This guest article by ACA Group consultants Luis Garcia, Grazia Gatti and Dan Campbell also includes information on a recent joint proposal by the Financial Crimes Enforcement Network and SEC that would require investment advisers to adopt customer identification programs; amendments to Regulation S‑P that will require a data breach incident response plan and customer notification process; and a recent SEC enforcement action concerning an adviser’s failure to disclose conflicts of interest. For more from the ACA Group, see “Testing Is an Integral Component of Compliance Programs” (May 9, 2024).

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