Compliance Corner Q3-2018: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

The SEC has repeatedly demonstrated how seriously it takes an investment adviser’s obligation to make timely and accurate filings, as evidenced by the Commission’s filings-centric examination sweeps and subsequent enforcement actions. These actions by the SEC serve as a clear reminder that hedge fund managers should ensure they identify and complete all filings required of them and the private funds they control. This fifth installment of the Hedge Fund Law Report’s quarterly compliance update, authored by Danielle Joseph and Anne Wallace, director and senior compliance analyst, respectively, at ACA Compliance Group, highlights upcoming filing deadlines of which fund managers should be aware during the third quarter and discusses certain filing obligations of fund managers, their private funds and how these obligations may diverge. Additionally, this article provides an overview of three technology-related topics: the use of technology to monitor personal trading, an update on cryptocurrency regulatory activity and tips for compliance with the E.U. General Data Protection Regulation. See our two-part series “What Are the GDPR’s Implications for Alternative Investment Managers?”: Part One (Apr. 26, 2018); and Part Two (May 10, 2018).

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