Compliance Corner Q4-2018: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

Fund managers will need to take steps to ensure that they are prepared to meet quarter- and year-end compliance-related deadlines, as well as take note of recent industry developments that will impact their businesses. For example, funds formed in the Cayman Islands are now required to designate individuals as anti-money laundering (AML) officers, although the deadline for certain Cayman funds to report this information to the Cayman Islands Monetary Authority (CIMA) was recently extended until December 31, 2018. This sixth installment of the Hedge Fund Law Report’s quarterly compliance update, authored by Danielle Joseph and Anthony Frattone, director and consultant, respectively, at ACA Compliance Group, highlights upcoming filing deadlines and reporting requirements of which fund managers should be aware during the fourth quarter and discusses recent industry developments, including the SEC staff’s recent observations on common compliance issues related to best execution by investment advisers, CIMA’s new AML requirements and the newly released draft of the Global Investment Performance Standards. See “The Ins and Outs of GIPS Compliance: What Hedge Fund Managers Need to Know About the Voluntary Standards and Pending Revisions” (Aug. 30, 2018).

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