Policies and Procedures for Hedge Funds

Authored by a team of investment management experts, Policies and Procedures for Hedge Funds provides clear guidance in creating a compliance manual that meets regulatory best practices.

Policies and Procedures for Hedge Funds is the only solution that combines practical and industry proven know how with the flexibility to integrate your existing materials into one centralized solution.

Policies and Procedures for Hedge Funds helps you:

  • Assemble and update hedge fund supervisory procedures
  • Edit and customize your content in a web-based, Word-friendly environment
  • Seamlessly integrate your existing materials
  • Approve and publish your manual throughout your organization online
  • Monitor and organize all key regulatory and filing deadlines

Complete Regulatory Coverage

Hedge Funds are increasingly under the spotlight and upcoming industry developments will mean complying with new regulations and having to manage additional regulatory scrutiny. Policies and Procedures for Hedge Funds addresses the Securities Act of 1933, Investment Advisers Act of 1940 and other relevant laws. It also provides procedures for relying on exceptions to the Investment Company Act of 1940, the Commodity Exchange Act and certain other statutes.

Comprehensive Chapters

The Hedge Fund Manual contains 22 comprehensive chapters covering a wide variety of compliance issues that will confront you in your day-to-day operations, including:

  • Marketing (do’s and don’ts)
  • Employees (including personal trading)
  • New Investors (eligibility and Anti-Money Laundering)
  • Formation (step-by-step fund set-up procedures)
  • Investment Management (risk monitoring)


User Friendly, Web-Based Solution

Web-based editing in a Word-friendly environment gives you the ability to make changes and customize your content. It also enables multiple authorized editors to work on different sections of the same manual – directly on the web. Approve edits, publish a new version and securely distribute your manual to your entire organization online – easily and effortlessly.

Complete Customization

Our powerful Policies and Procedures Wizard guides you through the manual assembly process. Each question is designed to gather information about your firm in order to provide customized content for your manual. Policies and Procedures for Hedge Funds allows you to seamlessly integrate your existing content as needed. Once created, the online editing platform allows you to easily apply firm-specific information to your compliance manual.

Analytical Updates

Updates are published regularly, eliminating the need to monitor and interpret all the regulatory changes that could impact Hedge Funds. Our service provides you with the practical guidance you need to confidently manage your policies and procedures.

Archiving and Disaster Recovery

Previous versions of your manual are indexed and archived according to date for easy reference. The manuals are securely hosted, ensuring that your most important work is safeguarded and available at any time.

Newsletter and Calendar

Our quarterly newsletter provides in-depth explanation and insight on hot topics and recent regulatory changes. The Compliance Calendar allows you to monitor and organize all key regulatory and filing deadlines in one place.

Proven Compliance Expertise

Along with our team of professionals, Policies and Procedures for Hedge Funds is authored by a former SEC attorney who has advised many of the nation’s largest investment advisory firms on compliance issues. Applying this knowledge and expertise, Policies and Procedures for Hedge Funds delivers the most complete, succinct and easy-to-read compliance procedures on the market today.

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