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Published on: December 2006
Type of content: WHITE PAPER
Format: Adobe Acrobat (.pdf)
Price: FREE

Overview:
Will hedge funds be responsible for implementing tighter regulation? A two-year effort by the Securities and Exchange Commission to bring hedge funds to heel was derailed by a federal appeals court on June 23, 2006. However, the SEC may try to institute tighter legislation with congress despite previous efforts. But for the moment, hedge fund managers can legitimately ask: if we are not required to implement compliance practices comparable to those required of investment advisors, why should we? Why should we go to the time and expense, let alone subject our practices to unwarranted scrutiny?

Creating a culture compliance may prove to be simply good business, regardless of whether or not it becomes standard regulation. Read how your firm can support compliance while improving your bottom line.

This paper details:

- Marketplace Pressure: The Ultimate Compliance Driver

- Culture of Compliance as Competitive Advantage

- The Top 5 Essentials for Creating a Culture of Compliance

- Supporting Compliance through Technology

- Creating a Compliance Infrastructure

- Portfolio Management Systems for Transparency

- Order Management Systems for Accurate and Efficient Trading

- Partnership Accounting for Investor Servicing

- Failure to Comply: The Consequences

- The Compliance Opportunity