hedge fund industry Archives - Managed Funds Association

MFA Submits Comments to the FSB/IOSCO on Assessment Methodologies for Non-Bank Non-Insurer Global SIFIs04.07.14

MFA submitted a comment letter to the Financial Stability Board and the International Organization of Securities Commissions in response to […]

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Topics: FSB Financial Stability Board, International Organization of Securities Commissions, IOSCO, consultation paper, non-bank non-insurer globally systemically important financial institutions, systemic risk, financial institutions, asset manager, gross notional exposure, GNE, assets under management, AUM, market risk, counterparty exposure, asset class, tenor, netting, margining, clearing, hedge fund industry, hedge funds, mutual funds, financial markets, investment strategies, liquidity, Broker, European Commission, FSOC, Financial Stability Oversight Council, collateral, risk analysis, Redemptions, leverage, market participant, systemically important financial institution, SIFI, interconnectedness, leverage ratio, interest rate swap, single-name CDS, delta, SEC, CFTC, Securities and Exchange Commission, Commodity Futures Trading Commission, Form PF, Form PQR, options, clearinghouse, major swap participants, central counterparty, CCP, Basel-IOSCO Working Group on Margin Requirements, non-centrally cleared derivatives transactions, portfolio liquidity, investor liquidity, trade volume, initial margin, short selling, re-hypothecation, high frequency trading, cross-jurisdictional activities, prime broker, counterparty risk, diversification,

MFA Submits Comments to UK FCA Responding to Consultation on Use of Dealing Commissions02.25.14

MFA submitted comments to the UK Financial Conduct Authority (FCA) in response to its consultation on the use of dealing […]

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Topics: Financial Conduct Authority FCA, United Kingdom, dealing commission, consultation paper, transparency, conflict of interest, traditional fund management industry, hedge fund industry, retail investor, sell-side firms, trade execution, research, institutional investors, sophisticated investors, due diligence, Broker, hedge fund manager, hedge fund investors, brokerage, efficient trading decision, reasonable grounds, original thought, corporate access service,

MFA Submits Comments in Response to SEC Proposed Amendments to Regulation D, Form D and Rule 15609.23.13

MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to Regulation D, Form D […]

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Topics: Securities and Exchange Commission SEC, Regulation D, Form D, market practices, JOBS Act, General Solicitation, private placements, capital formation, Investor Protection, transparency, private fund, private capital markets, hedge funds, issuers, due diligence, John Thune, registered investment companies, RICs, private fund managers, examination process, Office of Compliance Inspections and Examinations, OCIE, hedge fund industry, assets under management, AUM, Form ADV, state securities regulators, Form PF, proprietary information, Rulemaking, adviser registration, Norm Champ, Division of Investment Management, PLI Hedge Fund Management Conference, Advance Form D, cost-benefit analysis, compliance costs, registered investment adviser, hedge fund managers, compliance, public markets, Fund Sponsors, United States Congress, capital markets, Form 13F, Schedule 13D, censure, cease and desist, Verification Methods, accredited investor, general solicitation materials, legends, disclosure requirements, anti-fraud rules, performance, sophisticated investors, high net worth requirements, institutional investor, private fund offerings, retail investors, private placement memorandum, Ban on General Solicitation and Advertising, accredited investors, efficiency, competition, pitch book, marketing materials, beneficial owners, equity, natural persons, eligible purchasers, general partner, Federal Securities Laws, deemed compliant, Pacific Mutual Life Insurance Company, Variable Life, Franklin Group of Funds, investment company, statement of policy, mutual fund, interpretive guidance, commodities, derivatives, liquidity, qualified purchasers, qualified clients, Global Investment Performance Standards, investor qualification standards, knowledgeable employees, harmonization, Elizabeth Murphy, Commodity Futures Trading Commission, CFTC, pool participants, Ray Garrett, Colorado Bar Association,

Joint MFA-AIMA Letter to Australian Treasury on Investment Manager Regime09.12.13

MFA and AIMA sent a joint letter to the Australian Treasury in response to the Treasury’s second exposure draft of […]

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Topics: Australia Australian Treasury, AIMA, Alternative Investment Management Association, Investment Manager Regime, IMR, income tax, widely-held test, Managed Funds Association, managed funds, compliance costs, Bill Shorten, Minister for Financial Services and Superannuation, Asia Pacific, passive portfolio investments, foreign funds, hedge funds, hedge fund industry, hedge fund structure, foreign investments, pooled investment fund, sophisticated investors, institutional investors, pension plans, endowments, high net worth requirements, fund of funds, exchanges, direct offering, partnership, master-feeder fund, Side-by-Side Structure, Master-Feeder Structure, Cayman Islands, Feeder Funds, managed accounts, ring-fencing, closely-held test, remuneration, management fee, performance fee, limited partnership, alignment of interests, Unwinding Costs, investment portfolio, illiquid assets,

MFA Submits Comments to SEC on JOBS Act Implementation06.20.13

MFA submitted a comment letter to the Securities and Exchange Commission (SEC) in response to its proposed implementation of Section […]

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Topics: Securities and Exchange Commission SEC, JOBS Act, Dodd-Frank Act, General Solicitation, General Advertising, Regulation D, Fund Democracy, Mercer Bullard, Barbara Roper, Consumer Federation of America, hedge fund industry, hedge fund managers, registration, state securities regulators, investment advisers, adviser registration, Office of Compliance Inspections and Examinations, U.S. Securities Laws, private fund, proprietary information, private fund managers, regulation, United States Congress, Form ADV, Richard H. Baker, solicitation, service providers, performance, audit, transparency, Ban on General Solicitation, Verification Methods, Issuer, Mary Jo White, securities, New York Stock Exchange, U.S. Senate Committee on Banking Housing and Urban Affairs,

MFA and AIMA Submit Letter to BaFin on the Interpretation of the German HFT Law05.17.13

The Managed Funds Association (MFA) and the Alternative Investment Management Association (AIMA) submitted a letter to BaFin, the German regulator, […]

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Topics: BaFin Germany, AIMA, Alternative Investment Management Association, high-frequency trading, HFT, investment managers, endowments, pensions, foundations, insurance companies, fiduciary, regulatory requirements, market participants, investment management industry, hedge fund industry, global alternative investment industry, latency, portfolio management, algorithmic trading, algorithms, traders, execution,

MFA Submits Letter in Response to SEC Investor Advisory Committee Recommendations on Implementation of the JOBS Act03.22.13

MFA submitted a comment letter to the Securities and Exchange Commission (SEC) in response to its proposed implementation of Section […]

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Topics: SEC Securities and Exchange Commission, JOBS Act, General Advertising, General Solicitation, Ban on General Solicitation, Investor Advisory Committee, capital, investor, regulatory regime, hedge fund industry, capital formation, transparency, Investor Protections, sophisticated investors, private funds, retailization, institutional investors, facts and circumstances analysis, Verification Methods, private offerings, Form GS, Form D, investment company, Richard H. Baker, adviser registration, investment advisers, Form ADV, accountants, Auditors, private placement, accredited investors, Office of Compliance Inspections and Examinations, registered investment adviser, Form PF, investment adviser examination, marketing materials, Disclosure, private fund managers, Public Offerings, due diligence, safe harbor, broker-dealer, banks, Issuer, minimum investment level, compliance, Anti-Fraud Provisions, no-action relief, interpretive guidance, Global Investment Performance Standards, hedge fund managers, natural person, qualified purchasers, qualified clients, Clover Capital no-action letter, Dodd-Frank Act, net worth, primary residence, investor qualification standards, Ray Garrett, Colorado Bar Association, Bad Actors,

MFA Submits Comments to Cayman Islands Monetary Authority in Response to Consultation on Corporate Governance03.18.13

MFA submitted a comment letter to the Cayman Islands Monetary Authority (CIMA) in response to CIMA’s consultation paper on corporate […]

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Topics: Cayman Islands Cayman Islands Monetary Authority, CIMA, corporate governance, regulatory framework, Policy Makers, financial market, hedge fund industry, transparency, hedge funds, regulation, Statement of Guidance, investment fund, due diligence, investment manager, investment strategies, risk, risk management, board of directors, investor, hedge fund administrator, Auditors, proprietary information, public disclosure, service providers,

MFA and AIMA Submit Joint Letter to ESMA Proposing Q&As on EMIR03.12.13

MFA and AIMA jointly submitted a letter to the European Securities and Markets Authority (ESMA) with a list of questions […]

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Topics: ESMA European Securities and Markets Authority, Alternative Investment Management Association, AIMA, EMIR, European Market Infrastructure Regulation, alternative investment funds, risk mitigation, outstanding contracts, European Commission, hedge fund industry, mark-to-model, risk management, third country entities, credit derivatives, interest rate derivatives, reporting obligation, mark-to-market, OTC derivatives, over-the-counter derivatives, OTC derivative contract, Counterparty, portfolio reconciliation, portfolio compression, equivalence, financial counterparty, non-financial counterparty, alternative investment fund managers, AIFMD, Alternative Investment Fund Mangers Directive, board of directors, market participant, partnership, uncleared swaps, segregation, financial stability, European Union, EU, trade repository, central counterparty, CCP, Commodity Futures Trading Commission, CFTC, swap dealer, European Financial Stability Facility, European Financial Stability Mechanism, valuation,

MFA Submits Letter in Response to SEC Proposal to Implement JOBS Act09.28.12

MFA submitted a comment letter to the SEC in response to its proposed implementation of Section 201 of the Jumpstart […]

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Topics: Securities and Exchange Commission SEC, JOBS Act, General Solicitation, Ban on General Solicitation and Advertising, investors, Regulators, hedge fund industry, capital formation, transparency, Investor Protection, sophisticated investors, Dodd-Frank Act, private funds, retailization, hedge funds, investor qualification standards, sophisticated institutions, purchaser, securities, accredited investor, minimum investment level, Verification Methods, Issuer, private offerings, facts and circumstances analysis, statutory mandate, Richard H. Baker, efficiency, competition, cost-benefit analysis, net worth, safe harbor, qualified client, adopting release, third party funds, Definition, reasonable steps, Form D, outside counsel, knowledgeable employees,

MFA Comment Letters

Topic: hedge fund industry