Bingham McCutchen has put together a Recommended Annual Review for Hedge Funds and Other Private Fund Managers.
Bingham put together a laundry list of regulations, policies and filings that you should review on at least an annual basis:
- Compliance Policies and Procedures
- Form ADV Part 1 and Form ADV Part II
- Form SH
- Anti-Fraud Rule Adopted by the SEC for Naked Short Sales
- Blue Sky Filings and Amendments to Form D
- Form 13F
- Schedule 13D/13G
- Forms 3, 4 and 5
- Audited Financial Statements
- Offering Document Updates
- Ongoing ERISA Compliance
- Section 457A
- Section 409A
- CFTC Requirements
- Liability Insurance
- Employee Training
- Privacy Policy
Disclosure: The Wife is an attorney at Bingham.
