Hedge Fund Compliance – Parts 1 and 2


This course is presented in two sessions: Part 1 and Part 2. Registrants should attend both sessions in their entirety.

  • Date: TBD 2023
  • Recommended CPE Credits: 5.5
  • Duration: 2.5 Hours
  • Time: 9:00-11:30 a.m. ET

Product Information


Mitigating potential risks associated with Hedge Fund regulatory compliance is a daily and evolving challenge. This hedge fund compliance course equips participants in understanding what is needed to create, implement, and maintain a robust and comprehensive compliance program.

This course is presented in two 2.5-hour-long sessions. Registrants should attend both sessions in their entirety.

Course Objectives

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

  • Identify global trends in hedge fund investment, regulation, compliance and technology
    • Post-credit crisis investor/Operational due diligence
    • Post-credit crisis regulation
    • Post-credit trends in crisis compliance
    • Compliance/surveillance trends
    • Sandboxes
  • Discuss compliance including:
    • Investment adviser requirements
      • Role of CCO
    • Managed Funds Association (MFA) best practices
    • Disclosure
    • Third party vendors
    • Valuation
    • Code of conduct
      • Conflicts of interest
    • Risk management
    • Business continuity and disaster recovery
    • AML
  • Explain the federal regulatory requirements governing hedge funds compliance

Suggested Prerequisites: None

Program Level: Foundational

Target Audience: Anyone who wants to learn about hedge fund compliance, such as staff from compliance, legal, operations, IT, middle office, or HR, and regulators who work closely with various aspects of the hedge fund market.

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 5.5

Duration: 2.5 Hours Total

Time: 9:00-11:30 a.m. ET

Price: $599/learner