MFA Comment Letters

Topic: Sound Practices for Hedge Fund Managers

Letter to ERISA Advisory Council on Hedge Funds’ Benefit to Pensions and Beneficiaries11.01.11


MFA submitted a written statement to the ERISA Advisory Council in connection with an Advisory Council meeting on November 8 […]

MFA Letter to SEC Chairman Cox Regarding Hedge Fund Transparency and Other Issues04.24.08


MFA President and CEO, Richard H. Baker, met with SEC Chairman Christopher Cox this morning and discussed the topics addressed […]

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Topics: accredited investors accredited natural person, advertising materials, alternative investment industry, annual cap, Australia, Ban on General Solicitation and Advertising, best practices, broker-dealer, brokers, Canada, capital markets, CFTC, chief compliance officer, Christopher Cox, Clover Capital no-action letter, Commodity Futures Trading Commission, Cross-Border Investments, Direct Participation Programs, Division of Investment Management, DPP, EU, European Union, Federal Securities Laws, Financial Industry Regulatory Authority, financial services industry, FINRA, futures, futures market, General Advertising, General Solicitation, global capital markets, hedge fund investors, hedge fund managers, hedge fund offerings, hedge funds, Implications of the Growth of Hedge Funds Staff Report to the United States Securities and Exchange Commission, inflation, investors, large accredited investor, lifetime cap, managed futures, market participants, Memorandum of Understanding, mutual recognition, Nancy Morris, National Futures Association, NFA, no-action letters, NYRO OCIE, offering proceeds, Policy Makers, pooled investment vehicle, private offerings, Protecting Investors: A Half Century of Investment Company Regulation, public commodity pool offerings, public commodity pools, public offering disclosure requirements, qualified purchasers, Regulation D, Regulators, regulatory barriers, Rulemaking, safe harbor, SEC, securities, Securities and Exchange Commission, sophisticated investors, Sound Practices for Hedge Fund Managers, staff guidance, systemic risk, trade associations, trail commissions, transaction costs, transparency, United States Congress,

MFA Comments to the U.K. Hedge Fund Working Group’s Consultation Paper12.14.07


Today, MFA submitted the following response letter to the U.K. Hedge Fund Working Group on its Consultation Paper. The overall […]

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Topics: AIMA Alternative Investment Management Association, AML, audited annual accounts, board of directors, board of trustees, Borrowed Stock, bright line test, Chartered Financial Analyst Institute, cherry picking, client confidentiality, collateral agreements, collateral calls/two way collateral posting, commercial terms, compliance, compliance procedures, Comply or Explain, conflicts of interest, consultation paper, counterparties, counterparty risk, cross-market particpant working group, Derivative posistions, Difficult-to-Value Assets, Disclosure, disclosure thresholds, exchange traded posistions, exposure, Fair Value, Federal Reserve Bank of New York for OTC equity derivatives, fire sale, fund governing bodies, Fund Governing Body, funds of funds, global alternative investment industry, Global Investment Performance Standards, global relevance, Governance of Operational Risk, Hedge Fund Working Group, hedge funds, HFWG, illiquid securities, independent in-house functions, independent third parties, independent valuation services providers, inside information, Insider Dealing, Investment Policy, investor groups, investors, Irish Stock Exchange, jurisdictional requirements, Key man risk, Key Performance indicators (KPis) Fund Governance Disclosure, legal risks, Lenders/Prime Brokers/Dealers, Luxembourg Stock Exchange, managed futures funds, managers, Market Abuse, market price, market risk, marketable securities, Model Risk, net asset value, netting agreements, non-marketable, non-U.S. exchanges, offshore, one-stop shop, OTC derivatives transactions, OTC electronic transaction posistions, OTC market particpants, Outsourcing Risk, performance fee, Performance Measurement Disclosure, portfolio, portfolio management, potential conflicts, potential liability, President's Working Group on Private Pools of Capital (PWG), price sources, prime brokers, proxy voting policy, reconciliation errors, Regulators, regulatory implicationsm Websites, regulatory risks, Risk Disclosure, scenario analyses, Securities and Exchange Commission (SEC), segregation, service legal agreement, side letters, side pocket, soft limits, Sound Practices for Hedge Fund Managers, spectrum, stock lender, stress testing, third parties, Third Party Administrators, trade association, U.S. based funds, U.S. securities law, UK, uncertainity, United Kingdom, valuation, valuation determinations,

MFA Submits Letter to Department fo the Treasury Regarding Review by the Treasury Department of the Regulatory Structure Associated with Financial Institutions11.21.07


MFA submits letter to the U.S. Department of the Treasury in response to its request for recommendations on how to […]

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Topics: adequate disclosure Asian Countries, Australia, BaFin, bonds, business models, capital raising process, CFTC, collateral management stystems, collective investment vehicles, commercial, Commodity Futures Trading Commission, commodity pool operator, commodity pool operators, common stock, competitiveness concerns, compliance, conduct-of-business, conflicting regulatory edicts, Congress, costs, counterparites, cross-recognition efficiencies, crude oil, currency options template, customer protections, Department of the Treasury, derivatives, derivatives clearing organizations, Disclosure, duplicative systems, Europe, exchange, exchanges, fair prices, Federal Energy Regulatory Commission, federal government, FERC, Financial Industry Regulatory Authority, financial institutions, financial integrity systems, financial products, Financial Services Action Plan, Financial Services Roundtable, FINRA, flexibility, foreign markets, Fraud, fund of funds, funds, futures, futures brokerage commission payments, futures contracts, futures exchange, G-8 finance ministers and deputies, global alternative investment industry, gold, hedge fund investors, hedge funds, hedging, Henry Paulson, higher prices, intemediary brokerage firms, intermediaries, International Organization of Securities Commissions (IOSCO), international organizations, international portfolio valuation principles, international regulatory standards, Investor Protection, Japan's Financial Services Agency, liquid trading markets, local law enforcement, managed futures funds, margin area, margin levels, market and financial integrity, Market Particpants, market price transparency, marketplace, mutual, National Futures Association, natural gas, natural gas futures price manipulation, net capital, net long, Netherlands, NFA, optimal regulatory structure, options contracts, options trading, ownership interest, peer-to-peer guidance for hedge fund managers, Policy Makers, pool offerings, portfolio margining, Portfolios, President's Working Group on Financial Markets, principles-based approach, private pools of capital, private sector self-regulation, private transactions, prudential safety, public interest, public interest goals, public managed futures fund offerings, PWG, regions, regulation of intermediaries, regulatory framework, regulatory oversight, Regulatory Structure, retail customers, retail foreign exchange (FX), risk management, risk-based performance bond system, rules-based approach, safe harbor, SEC, securities, Securities and Exchange Commission, security futures, short, Sound Practices for Hedge Fund Managers, soundness regulation, state regulators, state securities regulators, statutory core principles, stock index, stock price, stock world, substantial inefficiency, tired system of regulation, trading business activties, trading platforms, transactions, twin peaks model, U.S. capital market competitiveness, underlying asset, uniform set of basic principles of regulation, United Kingdom's Financial Services Authority (FSA), United States, unwarranted costs, valuation, wheat, wholesale,

MFA Files Joint Comment Letter to California Department of Corporations on Proposed Rule Requiring Hedge Fund Managers to Register with the State11.21.07


MFA and the Coalition of Private Investment Companies submit a joint comment letter to the California Department of Corporations on […]

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Topics: 2003 staff report accredited investor standard, accredited investors, Agreement Among PWG and U.S. Agency Principals on Principles and Guidelines Regarding Private Pools of Capital, assets under management, AUM, Board of Governors of the Federal Reserve System (FED), brokerage firms, California, California Corporate Securities Law, California Public Employees' Retirement System, CalPERS, capital calls, CFTC, chief investment officer, Coalition of Private Investment Companies, Commisioner of the California Department of Corporations, Commodity Futures Trading Commission, Congress, CPIC, Data, de minimis standard, Department of Corporations, Department of the Treasury, due diligence, electronic filing, Exempt Advisers, Exemption, fiduciary standards, financial market, financial products, Form D, Fraud, fund advisers, fund of funds, global alternative investment industry, hedge funds, implications of the growth of hedge funds, Industry Standards, industry trends, initial statement of reasons, investment adviser, investment advisers, Investor Protection, Investor's Committee of the Advisory Group, James Chanos, jobs, jurisdiction, liquidation restrictions, liscensing exemption, locked up, London, managed future funds, national markets, New York, office rents, oversight, Pension Funds, pooled investment vehicles, President's Working Group on Financial Markets, Private Offering, private offerings, privately-offered pooled investment vehicles, professional asset managers, proposal, public, PWG, qualified purchasers, Redemptions, registered investment companies, registrant, requirement, risk, San Francisco, SEC, Securities and Exchange Commission, Sound Practices for Hedge Fund Managers, spillover effect, start-up companies, state registration, support services, tax revenues, The Bureau of National Affairs, training personal, venture capital,
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