Investment Operations

Hedge Fund Regulatory Compliance

Categories Compliance, Intermediate

Course Instructor

Course Level

Intermediate

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

9:00 am - 1:00 pm​

Description

Date: TBD

In this half-day virtual training on Hedge Fund Regulatory Compliance, participants will be introduced to a variety of terms and forms.  This terminology is discussed throughout the course.  This course focuses on traditional hedge funds.  It also adds in some information on related private fund products, such as private equity funds, real estate funds and other pooled investment vehicles. By the end of the course, participants will be able to identify and elaborate on:

  • Traditional Hedge Fund Structures
  • The Hedge Fund Players
  • The Laws
  • The Investors

Prerequisite: Hedge Fund Fundamentals course or equivalent work experience

Who Should Attend

The course is drafted for the following types of industry personnel:

  • Entry-level lawyers and paralegals
  • Fund administration personnel
  • Internal audit departments
  • Hedge fund compliance personnel
  • Entry-level independent public accountants
  • Investment advisory personnel

Agenda

The Paper (Requirements)

  1. Organizational Materials for the General Partner/Investment Manager
  2. Certificate of Limited Partnership
  3. Tax I.D.
  4. LP Agreement
  5. Offering Memorandum
  6. Investment Management Agreement between Hedge Fund and Investment Manager
  7. Subscription Documents
  8. Joinder Agreement (if necessary)
  9. Fund Service Agreements (as necessary)
  10. Form PF
  11. Misc. Documents
  12. Placement Agent Agreement

Other Private Fund Products

  1. Basic Private Equity Funds
  2. Fund-of-Funds
  3. Real Estate Funds
  4. Single Investment Funds
  5. Offshore Funds

Regulatory Update

  1. Dodd-Frank
  2. JOBS Act
  3. Recent Changes to Regulation D
  4. Advisers Act Issues
  5. Recent SEC Risk Alerts
  6. Cyber Security and Investment Companies and Investment Advisers

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

Course Instructor

Course Level

Intermediate

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

9:00 am - 1:00 pm​

Description

Date: TBD

In this half-day virtual training on Hedge Fund Regulatory Compliance, participants will be introduced to a variety of terms and forms.  This terminology is discussed throughout the course.  This course focuses on traditional hedge funds.  It also adds in some information on related private fund products, such as private equity funds, real estate funds and other pooled investment vehicles. By the end of the course, participants will be able to identify and elaborate on:

  • Traditional Hedge Fund Structures
  • The Hedge Fund Players
  • The Laws
  • The Investors

Prerequisite: Hedge Fund Fundamentals course or equivalent work experience

Who Should Attend

The course is drafted for the following types of industry personnel:

  • Entry-level lawyers and paralegals
  • Fund administration personnel
  • Internal audit departments
  • Hedge fund compliance personnel
  • Entry-level independent public accountants
  • Investment advisory personnel

Agenda

The Paper (Requirements)

  1. Organizational Materials for the General Partner/Investment Manager
  2. Certificate of Limited Partnership
  3. Tax I.D.
  4. LP Agreement
  5. Offering Memorandum
  6. Investment Management Agreement between Hedge Fund and Investment Manager
  7. Subscription Documents
  8. Joinder Agreement (if necessary)
  9. Fund Service Agreements (as necessary)
  10. Form PF
  11. Misc. Documents
  12. Placement Agent Agreement

Other Private Fund Products

  1. Basic Private Equity Funds
  2. Fund-of-Funds
  3. Real Estate Funds
  4. Single Investment Funds
  5. Offshore Funds

Regulatory Update

  1. Dodd-Frank
  2. JOBS Act
  3. Recent Changes to Regulation D
  4. Advisers Act Issues
  5. Recent SEC Risk Alerts
  6. Cyber Security and Investment Companies and Investment Advisers

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

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