Hedge Fund Compliance : Risks, Regulation, and Management

Series Page -- Title Page -- Copyright -- Dedication -- Preface -- Chapter 1: Introduction to Hedge Fund Compliance -- Introduction -- Differences in Hedge Fund and Other Alternative Fund Compliance -- Hedge Fund Compliance Is Not Specific to One Country -- Do Alternative Investments Merit Special Compliance Considerations? -- Understanding the Hedge Fund Compliance Framework -- Introduction to the Hedge Fund Compliance Function -- Distinguishing the Legal and Compliance Departments -- Key Players in Compliance -- Standard Areas Covered by a Hedge Fund Compliance Function -- Compliance Function Roles and Authority -- Chapter Summary -- Chapter 2: Introduction to Hedge Fund Regulation and Examination -- Introduction -- Different Types of Regulation for Different Financial Entities -- Why Regulation Is Needed -- Where Do Compliance Rules Come From? -- National and Global Jurisdiction -- Common Regulatory Interaction with Hedge Funds -- Regulatory Examinations -- Chapter Summary -- Chapter 3: The Chief Compliance Officer and Regulatory Reporting -- Introduction -- Introducing the Chief Compliance Officer -- Regulatory Reporting -- Regulatory Reporting in Multiple Jurisdictions -- Common Regulatory Reporting Questions -- A Multistep Process -- Chapter Summary -- Chapter 4: In‐House Compliance Professionals and Hedge Fund Committees -- Introduction -- Common Compliance Function Tasks -- Firm Committees as Compliance Mechanisms -- Chapter Summary -- Chapter 5: Hedge Fund Compliance Technology -- Introduction -- Understanding the Hedge Fund Information Technology Function -- Primary Compliance Uses of Technology -- Compliance Considerations for Use of Electronic Data -- Compliance Oversight of Nonelectronic Data -- Business Continuity and Disaster Recovery Planning -- Chapter Summary