Hedge Fund Quarterly Update 2021 Q4

Publish Date

Type

Newsletter

Topics

  • Compliance
  • SEC

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space. We hope this newsletter provides you with helpful insights and resources.

In the latest edition of our Hedge Fund Quarterly Update, we cover:

  • SEC Announces Enforcement Results for FY 2021
  • SEC Continues to Focus on Digital Assets and DeFi Platforms
  • SEC Chairman's Public Comments on the Private Fund Industry
  • 2021 Investment Management Compliance Testing Survey
  • New Marketing Rule: An Update
  • SEC Announces Win in Jury Trial Against Hedge Fund Adviser
  • SEC Staff Report on Equity and Options Market Structure Conditions in Early 2021
  • SEC's Recent Sweep Inquiries & Enforcement Action Relating to Unauthorized Electronic Communications at Big Banks
  • SEC Chairman Highlights Continued Scrutiny of SPACs
  • SEC Risk Alert: Investment Adviser's Fee Calculations
  • SEC Focus on Alternative Data Noteworthy Insider Trading Cases
  • SEC Proposals and Regulatory Approvals

Download the newsletter here

How we help

ACA has a number of solutions to help hedge funds build effective compliance programs to comply with regulations set by the SEC, including market abuse surveillance and eComms surveillance solutions.

Please reach out to your ACA Consultant or contact the Hedge Fund Practice Group if you have any questions about the topics in this newsletter, or want to find out how ACA can help your firm meet their compliance obligations.