Regulatory watch list for 2012: the shifting landscape for hedge funds and other private funds

Purpose - The purpose of this paper is to explain legislative and regulatory changes and related developments that will be of interest to hedge funds and other private funds as they traverse the shifting regulatory landscape in 2012.Design methodology approach - The paper provides a general overview...

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Veröffentlicht in:The journal of investment compliance 2012-06, Vol.13 (2), p.6-14
Hauptverfasser: Cain, James M, Frydman, Daphne G, Roby, David, Koffler, Michael, Ramirez, Raymond A
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container_end_page 14
container_issue 2
container_start_page 6
container_title The journal of investment compliance
container_volume 13
creator Cain, James M
Frydman, Daphne G
Roby, David
Koffler, Michael
Ramirez, Raymond A
description Purpose - The purpose of this paper is to explain legislative and regulatory changes and related developments that will be of interest to hedge funds and other private funds as they traverse the shifting regulatory landscape in 2012.Design methodology approach - The paper provides a general overview of the new regulatory regime that the Dodd-Frank Act imposes on over-the-counter (OTC) derivatives; describes the rescission of a regulatory exclusion from the commodity pool operator (CPO) definition that was previously available to registered investment companies and the repeal of an exemption from CPO registration requirements for operators of funds whose shares are exempt from registration under the Securities Act of 1933; discusses proposed changes to CPO and commodity trading advisor (CTA) compliance requirements; discusses Dodd-Frank Act changes to existing securities laws and regulations, including with respect to large trader reporting and investment advisers; highlights some of the concerns raised by MF Global, Inc.'s collapse; and describes recent tax law developments.Findings - The paper reveals that the Dodd-Frank Act significantly alters the space within which hedge funds and other private funds currently operate.Practical implications - Whereas the majority of the regulations to implement the Dodd-Frank Act have yet to become effective, federal regulators are working diligently to implement their mandates and hedge funds and other private funds should begin preparing to comply with the new Dodd-Frank Act requirements now.Originality value - The paper provides expert guidance by experienced securities, derivatives and tax lawyers.
doi_str_mv 10.1108/15285811211238093
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source Emerald A-Z Current Journals
subjects Carried interest
Commodities industry
Commodity futures
Commodity options
Compliance
Contracts
Documentation
Foreign Account Tax Compliance Act 2010-US
Futures trading
Hedge funds
Investment advisors
Margin requirements
Registration
Regulation
Regulation of financial institutions
Scandals
Securities industry
Studies
Swaps (Finance)
Tax reform
Wall Street Reform & Consumer Protection Act 2010-US
title Regulatory watch list for 2012: the shifting landscape for hedge funds and other private funds
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