With everything you need in one place, the HedgeOp Compliance Guide gives you a comprehensive reference resource to help you better understand and address hedge fund compliance, operational and business issues.

A must have for any hedge fund compliance professional or hedge fund service provider, the HedgeOp Compliance Guide was designed to provide readers with an understanding of the intricate aspects of hedge fund compliance regardless of their experience. The Guide also serves as an invaluable reference resource for ongoing questions.

Authored by HedgeOp Compliance CEO, Bill Mulligan, the Guide is the most comprehensive treatise available on the market today, tackling the many areas of regulation and compliance unique to the hedge fund industry.

What Types of Organizations Find the HedgeOp Compliance Guide Useful?

• Hedge Funds

  
  The HedgeOp Compliance Guide should be on the desk of every hedge fund CCO. Not only will the Guide assist a CCO and his team in learning and understanding the regulatory environment applicable to their firm, but, it will serve as an on-going resource for them in the operation of their business and help them swiftly respond to inquiries from regulatory authorities.

• Hedge Fund Service Providers

  
  For service providers, it is important to stay on top of compliance issues so that you may field occasional questions from your clients. The HedgeOp Compliance Guide will allow your staff to gain an in-depth understanding of hedge fund compliance and regulatory issues which will allow them to better service your clients.

• Law Firms

  
  The Guide will be an invaluable addition to your research library, saving your associates valuable time researching issues that are pertinent to hedge funds.

• Educational Institutions

  
  The HedgeOp Compliance Guide can be an incredible resource for faculty and students at business and/or law schools.

A sampling of the content in the HedgeOp Compliance Guide:

• Overview of the hedge fund industry
• Overview of the securities laws relevant to hedge funds
  • The Investment Company of 1940
  • The Advisers Act of 1940
  • The 1933 Act/The 1934 Act/Regulation D
  • The Commodity Exchange Act
  • USA PATRIOT ACT / AML Regulations
  • ERISA
  • NASD Rules
  • Federal Privacy Policy Laws
  • State Blue Sky Laws
• Identification of compliance issues relevant to particular firms and "categories" of funds
• Manager-Level Issues
  • Registration with the SEC
  • Record-Keeping Requirements
  • Form ADV
  • Custody
  • Proxy Voting
  • Solicitation Arrangements
  • Code of Ethics
  • Use of Marketing Materials
  • Use of Soft Dollars
  • Insider Trading
  • Trading and Allocation Procedures
• Fund-Level Issues
  • 3(c)(1) beneficial owner counting
  • ERISA/IRA calculations
  • New Issues
  • Portfolio-related issues
• Hedge Fund Operational & Business Tips
  • Use of Employee Manual
  • Money movement controls
  • Use of non-disclosure agreement
  • Streamlining operational activities
• Sample Forms & Exhibits on CD-ROM (42 Exhibits in total)
  • Sample investor eligibility cover letters
  • Redemption request forms
  • Solicitation agreements
  • Access Person Holdings & Transaction Reports