Take FORM PF SURVEY ONLINE – completely anonymous Download Form PF Survey Questionnaire in Word Format To: Private Fund Advisers Registered with the SEC Chief Legal / Compliance Officer To Whom It May Concern From: Professor Wulf A. Kaal 1000 LaSalle Ave., MSL 400 Minneapolis, MN 55403 Telephone: (651) 962-4972 Cell: (312) 810-4390 Facsimile: (651) […]
Read more "Form PF Survey 2013"The SEC yesterday approved final rules implementing one of the most important changes to securities regulation and offering practices in decades, as mandated by Congress in the Jumpstart Our Business Startups (“JOBS”) Act: to lift the ban on general solicitation or advertising in offerings to accredited investors that are exempt from registration under Rule 506 […]
Read more "The Hedge Fund Industry after the Lift of the Ban on General Solicitation"Presenting initial findings of this study on June 14th at the 2013 Junior Scholars Workshop on Financial Services Law at the University of Connecticut School of Law Here is the tentative abstract: Creating a paradigm shift for private fund regulation in the United States, Title IV of the Dodd-Frank Act mandates hedge fund adviser registration […]
Read more "The Effect of the Dodd-Frank Act on the Hedge Fund Industry"The Financial Times reports that hedge funds have transformed themselves and are increasingly influencing policy. My own work provides some empirical support for these observations. My study “Hedge Fund Manager Registration under the Dodd Frank Act” shows that hedge fund managers are only mildly affected by unprecedented registration and disclosure obligations under the Dodd-Frank Act and will be […]
Read more "A Bright Future for the Hedge Fund Industry and its Impact on Policy Making"Read the article at Cayman Financial Review Read the full study This article summarises the results of a recent survey of private fund managers.* The study identifies the possible effects of hedge fund adviser registration under the Dodd-Frank Act and is intended to support policy makers in implementing new rules pertaining to the hedge fund […]
Read more "Summary of Recent Study on Hedge Fund Manager Registration under Title IV of the Dodd-Frank Act"Hedge Fund Manager Registration Under the Dodd-Frank Act (2013). San Diego Law Review, Vol. 50, 2013. Available at SSRN: http://ssrn.com/abstract=2150377 For the last three decades, the SEC has repeatedly yet unsuccessfully attempted to register hedge fund managers. Resolving the tension between the industry and regulators regarding the appropriate level of regulatory oversight, the Dodd-Frank Act […]
Read more "Hedge Fund Manager Registration under the Dodd-Frank Act"Should Wall Street be afraid of the new rules established by the Dodd-Frank Act? For more than thirty years until the enactment of the Dodd-Frank Act, the hedge fund industry had resisted attempts by the SEC to register hedge fund managers. The SEC’s last attempted to register hedge fund managers failed in 2006 when the […]
Read more "Wall Street Does Not Fear the Dodd-Frank Act"
Wulf Kaal 