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

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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