Regulatory Compliance and Hedge Funds (Video) (Course Id 2845)

• Who is this course for?
  This course is designed for CPAs, accountants, fund managers, compliance officers, advisors, and other professionals seeking Continuing Professional Education (CPE) who need to understand hedge fund regulatory compliance requirements and oversight responsibilities.
• What is this course about or what problem does this course solve?
  This course explains the evolving regulatory environment affecting hedge funds, including SEC and CFTC oversight, the Investment Advisers Act, Form ADV and Form PF reporting, marketing and advertising rules, 13F filings, and internal compliance best practices to help professionals proactively manage compliance risks and avoid common regulatory mistakes.
• Where can the knowledge from this course be used?
  The knowledge from this course can be applied in hedge fund operations, investment advisory firms, accounting and compliance departments, regulatory reporting functions, and advisory practices that support hedge funds and investment management organizations.
• Why is this course important to a CPA or Accountant?
  This course is important to CPAs and accountants because hedge funds operate in a highly regulated environment where compliance failures can lead to enforcement actions, reporting deficiencies, and operational risks, making it critical for accounting and finance professionals to understand regulatory obligations and effective compliance controls.
• When is this course relevant or timely?
  This course is especially relevant as hedge fund regulations and enforcement trends continue to evolve rapidly, requiring professionals to stay current on regulatory updates, filing requirements, marketing rules, and compliance expectations in 2026 and beyond.
• How is a course like this consumed or used?
  This QAS self-study video course is completed online through instructional video content, review questions, and a final exam that participants must pass with a minimum score of 70% within one year of purchase to earn 2.0 CPE credits.

The hedge fund industry operates in one of the most highly regulated environments in finance—and the pace of regulatory change continues to accelerate. Fund managers, compliance officers, and advisors must not only understand the current legal landscape but also stay alert to emerging rules and enforcement trends. This session provides an essential overview of the evolving regulatory environment impacting hedge funds.

We will break down this session by key federal and state regulatory frameworks, including the Investment Advisers Act, the role of the SEC and CFTC, and common compliance challenges. You’ll explore Form ADV and Form PF reporting, advertising and marketing rule updates, 13 F and how to develop robust internal compliance programs. Real-world examples and enforcement cases will help illustrate where funds go wrong—and how to avoid common pitfalls.

Whether you're part of a fund's internal team or advising one externally, this course will equip you with the knowledge to manage compliance proactively and effectively

Through practical insights and structured examples, attendees will gain clarity on what each statement reveals, how the elements interconnect, and common red flags to watch for during preparation or review.

Course Learning Objectives

By the end of this course, participants will be able to:

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