http://www.loc.gov/mods/v3 http://www.loc.gov/standards/mods/v3/mods-3-2.xsd
The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field.-Design and run a hedge fund compliance program -Access templates of core compliance documentation and checklists -Discover how investors can evaluate and monitor compliance programs -Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.
Introduction to hedge fund compliance -- Introduction to hedge fund regulation and examination -- The chief compliance officer and regulatory reporting -- In-house compliance professionals and hedge fund committees -- Hedge fund compliance technology -- Compliance consultants and other compliance-related service providers -- Understanding key compliance documentation -- Investor evaluation of hedge fund compliance functions -- Case studies and example scenarios in hedge fund compliance -- Common compliance pitfalls and how to avoid them -- Interviews with compliance service providers -- Trends and future developments.
Includes bibliographical references and index.
Hoboken, New Jersey : John Wiley & Sons, Inc., [2017]