Hedge Funds Nuts & Bolts Webinar Series: Broker-Dealer Issues for Fund Managers

June 14, 2017

Marketing has become an area of both great importance for hedge fund managers seeking to grow their funds in an increasingly competitive market, and great concern for the U.S. Securities and Exchange Commission (SEC) who believe many managers are conducting themselves in ways that should require registration as a broker-dealer.

In this webinar, we discuss the need for fund managers to use a registered broker-dealer in the current regulatory environment, including a review of the Ranieri Partners decision, which gives insight on the SEC’s thinking in this area. We also cover an array of practical issues related to hedge fund marketing, including Form D disclosure, FINRA Capital Acquisition Broker (CAB) Rules, target and related performance and promises/guarantees. Finally, we address issue arising from marketing in the non-institutional space, such as FINRA Filing requirements under Rule 5123.

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