Compliance Corner Q3‑2021: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

This seventeenth installment of the Hedge Fund Law Report’s quarterly compliance update, authored by ACA Group consultants Joey Martinez, Dan Campbell and Chris Ray, highlights upcoming filing deadlines and reporting requirements that fund managers should be aware of during the third quarter. This article also includes information on the SEC’s Reg Flex agendas; increased thresholds for qualified client status; recent SEC examinations focusing on environmental, social and governance factors; and regulatory interest in trading plans created pursuant to Rule 10b5‑1 under the Securities Exchange Act of 1934. For coverage of recent ACA programs, see “Navigating the SEC’s New Marketing Rule” (Jul. 8, 2021); and “Using RegTech to Enhance Compliance” (Jun. 24, 2021).

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