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Hedge Fund Quarterly Update

Q3 2021

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space. In this newsletter, we highlight several noteworthy topics and developments.

This update will cover:

  • SEC Annual Regulatory Agenda
  • Regulatory Update
  • Risk Alert: Fixed Income Principal and Cross Trades
  • Exchange Act Rule 10b5-1
  • Form 13F
  • Revision to the “Qualified Client” Thresholds

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