Hedge Funds Formation, Regulation and Compliance

Hedge Fund regulation is one of the most mercurial areas of the law. Registration requirements have been passed by rule, struck down by the Courts, and re-passed by Congress. Securities and Exchange Commission rules implementing these head-spinning changes have created a hybrid regulatory regime, as evidenced by the new creature called the “exempt reporting adviser.” With the ERISA implications, its detailed custody and recordkeeping requirements, the overlay of securities registration/exemption rules, and the interplay of the Investment Company and Investment Adviser Act, this is a highly complex area that requires frequent legal assistance. Parker MacIntyre represents hedge fund advisers that are both SEC and state registered.


Please see our recent whitepaper, Forming a Hedge Fund or other Private Investment Fund: A Top 10 List for the Entrepreneurial Fund Manager. In it you will find a roadmap for entrepreneurial fund managers which aims to identify and discuss the top 10 areas of attention/concern relevant to a fund launch.