Advisory Contracts: Confusion to Clarity

Confused about whether you need to amend your existing advisory contracts as a result of Dodd-Frank, or whether your contracts are compliant with regulatory requirements? For some much-needed clarity, hear our consultants break down the fundamentals of Advisers Act Section 205 and explain the concepts of assignment, control, negative and advance consent, SEC guidance with respect to advisory contracts, and the new Section 205(f) provision.

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Recent ComplianceCast™ Minutes

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Why Should a Big Hedge Fund Use a Compliance Consultant?

If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge funds, compliance officers struggle to successfully fulfill the requirements of the job without an essential tool in their toolbox: the outside compliance consultant. Why? The primary reason is simple: resources. When your head is down … Continued

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