Compliance Corner Q2‑2019: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

As the vast majority of SEC-registered investment advisers have now filed their annual amendments to their Forms ADV, chief compliance officers must turn to the next set of regulatory filing obligations that are on the horizon. This eighth installment of the Hedge Fund Law Report’s quarterly compliance update, authored by consultants Anne Wallace and Anthony Frattone at ACA Compliance Group, highlights upcoming filing deadlines and reporting requirements that fund managers should be aware of during the second quarter; discusses the Electronic Messaging Risk Alert recently published by the SEC’s Office of Compliance Inspections and Examinations (OCIE); analyzes a recent enforcement action against a digital asset fund manager involving allegations of general solicitation; and discusses the most recent cybersecurity sweep exam initiated by OCIE. See our two-part series on OCIE’s Risk Alert on Electronic Messaging: “A Review of Best Practices” (Feb. 7, 2019); and “Four Key Steps Advisers Should Take” (Feb. 14, 2019).

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