Investment Advisors – Complacency and Compliance
Thomas Giachetti authored “A Process, Not a Destination: Complacency and Compliance Do Not Mix” for the August issue of Investment Advisor magazine.
Giachetti in “Expert’s Corner” in Investment Advisor Magazine
Thomas Giachetti will write the monthly colum, Expert’s Corner, for Investment Advisor magazine, begnning with the July 2006 issue.
New Jersey Legal Update – Podcast # 38
This week’s New Jersey Legal Update podcast will discuss hedge fund side letters and what managers need to know.
Fiduciary Obligations of Dually Registered Representatives
An investment adviser’s fiduciary obligations can restrict a dually registered investment adviser representative and registered representative (“broker/adviser”) from effecting certain brokerage transactions.
New Jersey Legal Update – Podcast # 35
This week’s New Jersey Legal Update podcast will discuss hedge fund registration issues and whether or not general partners and managers should register under the Investment Advisor Act.
Investment Adviser Compliance Update – Summer 2006
Stark & Stark’s Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is available for download. The Summer 2006 edition covers topics including, Risk Assessment, SEC’s New Examination Request List, Succession Planning Your Practice, Branch Office Registration and Rules 13-F and 206(4)-7.
CMG Capital Named as a Top Performing Hedge Fund
I was pleased when I read that Stark & Stark client CMG Capital was named by Bloomberg Markets Magazine as one of the best-performing hedge funds in their January 2006 cover story, Hedge Fund Hotshots. CMG Capital was ranked as the 4th best performing fixed income hedge fund based on it 14.4% 3-year return.
Investment Adviser Compliance Update – Spring 2006
Stark & Stark’s Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is avaialble for download.
Hedge Fund Compliance Examinations
Lu Mendez authored the article “Laying Out the Welcome Mat for SEC Examiners” for the Februrary 27 issue of the New Jersey Law Journal.
Registered Investment Adviser 13F Disclosure Requirements: Hedge Funds Included
Any investment adviser with $100,000,000 in discretionary assets under management must file a Form 13F.