Recent Hedge Fund Meeting

Recaps from recent Hedge Fund Working Group 

September 12, 2018 Conference Call

  • The Working Group welcomed guest speakers Patricia Poglinco and Robert Van Grover, partners at Seward & Kissel, and the group discussed:

    • AML officer guidelines for Cayman Island funds
    • PE fund expense allocations
    • OCIE risk alert on advisory fee and expense compliance issues
    • HSR Act filing thresholds
      • Merger challenged following HSR clearance
      • Commonly missed HSR reportable transactions
    • Side letters, issues and compliance
    • Select SEC enforcement cases – testimonials and pay to play

April 18, 2018 Conference Call

  • The Working Group welcomed guest speakers, David Vaughan, Jonathan Streeter, and Timothy Spangler, Partners at Dechert LLP. The Working Group discussed: SEC update for hedge fund advisers, including trends in exams and enforcement; trading developments, including the use of big data; and cryptocurrency and blockchain technology for private funds, including regulatory issues.

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