Hedge Fund Compliance

Price: $995   Register now

Recommended that you register at least two weeks in advance.

Course Features

  • Course date:03/17/2020
  • Course Duration: 1 Day
  • Level: Beginner-intermediate
  • Prerequisites: None
  • Method: Live & Virtual
  • Venue: 115 Broadway, NY, NY 10006
  • Time: 9:00 am – 5:00 pm
  • Dress Code: Business Casual
  • Category:
  • Certificate: Yes
  • CPE Credits: 7
  • Course Code: 303

Hedge Fund Compliance

If you need to understand how hedge funds are regulated, the SEC and other regulatory requirements and industry guidance, e.g., The Managed Funds Association, they are subject to and the evolving landscape of the industry, someone aspiring to work in capital markets and hedge fund compliance, career transitioning to this industry, compliance and operational personnel, or just want to broaden your expertise on these critical trends, this is the seminar. It is not aimed at financial engineers looking for hedging and trading strategies, but for those professionals seeking to expand their knowledge with insights and practical guidance, such as fund board members, senior management of private companies and pension plans.

What will you learn?

  • Hedge Fund registration requirements
  • Investment Adviser Requirements
  • The Role of Prime Brokers and Hedge Funds
  • Soft Dollars
  • Compliance
  • Conflicts of Interest
  • Code of Ethics
  • AML
  • Business Continuity
  • Cyber Security

Power points and outlines will be provided so that participants can review the concepts demonstrated in class. All class notes and readings are provided, including references to additional sources (books, articles, and websites).


  • Regulatory Requirements for a Hedge Fund
    • Investment Adviser and Fund Requirements
    • Securities Act and Securities Exchange Act Requirements
    • Fund Structure
      • Hedge Fund Investor Due Diligence
    •  Fund Offering
    • Form ADV
  • Compliance
    • Compliance Manual
    • Recordkeeping
    • Soft Dollars
      • Prime Brokers
      • Executing Brokers
      • SEC Guidance
      • Form ADV-Part 2
      • Unbundling-MIFID 2
    • Conflicts of Interest
    • Training and Educating Personnel
  • Compliance Function
    • Resources and Staffing
    • CCO
    • Annual Compliance Review
  • Anti-Money Laundering
    • FINCEN
    • FATF
    • Policies and Procedures
    • Risk-Based Procedures
    • Suspicious Activity Reporting
    • OFAC Compliance
    • Independent Audit
    • Recordkeeping
  • Business Continuity/Disaster Recovery
    • Cybersecurity
    • OCIE Guidance

Wrap up, summary and sources of further information.


  • William Jannace   has over 30 years of experience in the securities industry as a regulator at the American Stock Exchange, the New York Stock Exchange and at FINRA. As a senior counsel at Ross PLLC, he  advises clients across a range of applications and compliance needs. Currently he is also focused on blockchain industry related …
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