Journal of Investment Compliance: Volume 7 Issue 2

Mutual funds under fire: reform initiatives

Thomas R. Smith

To describe the broad range of reform initiatives that has been undertaken in response to a series of mutual fund scandals that have become apparent starting in 2003. This is the…

Should you stay or go? Private fund adviser registration after Goldstein

Thomas S. Harman, Monica L. Parry

To discuss factors that a private fund advisor should consider in its decision to remain registered with Securities and Exchange Commission (SEC) or to deregister in light of the…

Personal trading policies for hedge fund managers

Thomas S. Harman, Monica L. Parry

To provide a detailed description of personal trading policies that apply to hedge fund managers.

The downside of side letters

Ian Levin, Kevin Scanlan

To discuss possible disadvantages and other implications for private investment fund managers of issuing side letters to certain investors.

Hedge fund marketing overview

Ethan W. Johnson

To provide a brief overview of US securities laws that apply to the marketing of hedge funds.

Editor column

Henry A. Davis, James A. Tricarico Jr