Recently by Scott H. Moss
Securities & Exchange Commission (SEC)
Reminder: Rule 13h-1 (the Large Trader Reporting Rule) Compliance Date Is December 1, 2011; Effective Date Was October 3, 2011
On October 3, 2011, the Securities and Exchange Commission’s (the “SEC”) Rule 13h-1 (the “Rule”) became effective. The Rule, which was adopted on July 26, 2011, under Section 13(h) of the Securities and Exchange Act of 1934, as amended, establishes a new reporting...
Read MorePortfolio Rebalancing: Prohibited Principal Transactions Or Fair Allocations Of Investment Opportunities?
If you are a fund manager of more than one pooled investment vehicle, chances are, at some point, you will desire to "rebalance" the portfolios you manage to ensure that such vehicles have pro rata ownership of each securities position. Depending upon the facts and circumstances surrounding the...
Read MoreCompliance Reminder: Marketing Practices For Hedge Fund Managers
As a manager of one or more "private" pooled investment vehicles, you may not have paid much attention to your marketing activities under the mistaken impression that you are not subject to provisions of law governing marketing activities because you do not engage in general solicitations or...
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