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Hedge fund compliance risks regulation and management

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Hedge fund compliance risks regulation and management

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge fund compliance risks regulation and managementica, Europe, Australia, and Asia, Wiley is globally committed to developing and marketing print and electronic products and services for our customers

’ professional and personal knowledge and understanding.The Wiley Finance series contains books written specifically for finance and investment profes Hedge fund compliance risks regulation and management

sionals as well as sophisticated individual investors and their financial advisors. Book topics range from portfolio management to e-commerce, risk ma

Hedge fund compliance risks regulation and management

nagement, financial engineering, valuation and financial instrument analysis, as well as much more.For a list of available titles, visit our Web site

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge fund compliance risks regulation and managementts reserved.Published by John Wiley ỔC Sons, Inc., Hoboken, New Jersey.Published simultaneously in Canada.No part of this publication may be reproduce

d, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, Hedge fund compliance risks regulation and management

except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without cither the prior written permission of the Publisher, or

Hedge fund compliance risks regulation and management

authorization through payment of the appropriate pcr-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 7

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge fund compliance risks regulation and managementtment, John Wiley 8c Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wilcy.com/go/permiss

ions.Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no repre Hedge fund compliance risks regulation and management

sentations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of

Hedge fund compliance risks regulation and management

merchantability or fitness for a particular purpose. No warranty may lie created or extended by sales representatives or written sales materials. The

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge fund compliance risks regulation and managementpublisher nor author shall be liable for any loss of profit or any other commercial damages, including bur not limited to special, incidental, consequ

ential, or other damages.For general information on our other products and services or for technical support, please contact our Customer Care Departm Hedge fund compliance risks regulation and management

ent within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.Wiley publishes in a variety of prin

Hedge fund compliance risks regulation and management

t and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge fund compliance risks regulation and managementt http://booksupport.wiley.com. For more information about Wiley products, visit www.wilcy.com.Library of Congress Cataloging-in-Publication Data is a

vailableISBN 978-1-119-24023-5 (Hardcover)ISBN 978-1-119-24027-3 (ePDF)ISBN 978-1-119-24026-6 (ePub)Cover Design: WileyCover Images: (top) © g0d4ather Hedge fund compliance risks regulation and management

/Shuttcrstock; (bottom) © Rawpixcl.com/ShuttcrstockPrinted in the United States of America10 987654321For R, y, and zContentsPrefaceXiCHAPTER 1Introdu

Hedge fund compliance risks regulation and management

ction to Hedge Fund Compliance1Introduction1Differences in 1 ledge Fund and Other Alternative FundCompliance1Hedge Fund Compliance Is Nor specific to

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

Hedge Fund ComplianceFounded in 1807, John Wiley & Sons is the oldest independent publishing company in rhe United Stares. With offices in North Ameri

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