Program Details

Fundamentals of Compliance and Best Practices for Private Funds and Hedge Funds

Content Partner:  National Society of Compliance Professionals
Price: $150.00*
Member Price:  $75.00
This program is no longer available.

* Applicable Membership or Subscription discounts will be added in your shopping cart


The recently-enacted Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") will result in, among many other consequences, the vast majority of hedge fund managers being required to register as investment advisers with either the Securities Exchange Commission or the various state securities regulators.  For those hedge fund managers registered with the SEC, there is an express regulatory requirement that they develop and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940, as amended.  For state registered investment advisers, even if not expressly required, there seems to be an unwritten expectation from both the regulators and sophisticated investors that they do the same.

This webcast, cosponsored by the National Society of Compliance Professionals and West LegalEdcenter, will summarize the role of compliance in the operations of a private investment fund with an awareness of the distinction between minimum regulatory requirements and industry best practices.  We will touch upon the following issues:

  • Basic compliance procedures regardless of registration status
  • Compliance pitfalls
  • Legal and regulatory considerations: investment structure, domicile and registrations - state vs. Federal registration requirements
  • Filings: Form ADV, Form D, state notice filings, IA representatives, FBAR filings

The content of this webcast was originally a workshop at the National Society of Compliance Professionals (NSCP)'s Annual Membership Meeting; the most comprehensive industry conference (over 70 workshops, labs and regulatory panels)  to view the full national agenda and purchase a searchable CD of the National Meeting's materials please go to

Practice Areas: Banking & Finance Law, Corporate & Securities, Securities & SEC Regulation
Online Media Type: Audio
Production Date: 12/09/2010 2:00 PM EST
Level: Intermediate
Category: Standard
Duration: 1 Hours, 15 Minutes
Online Format: Live

Click here for information on subscription discounts and Group Viewing opportunities.

Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.

If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance.  Credit totals for other formats are for complete programs.  Partial credit is not available for any online or downloadable format. 


West LegalEdcenter will not provide accreditation for states not listed. 

This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing

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Total Credits: 1.25
Specialty Credits: 
Status: Reciprocal Credit Available
Expiration: N/A
Training Type: Online

West LegalEdcenter provides accreditation as described here. You may be able to self apply for credits in states not listed.

Check your state requirements and get contact information.
Jeffrey R. Blumberg - Drinker Biddle & Reath LLP
Dianne Mattioli - Chief Compliance Officer, EIM Management (USA) Inc
This product is designed to provide information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.

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