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Hedge Fund Managers: Your 2013 Annual Compliance Check-Up – Quick Tips on Doing a Self-Diagnosis
Ronald M. Kosonic and Sarah K. Gardiner
Borden Ladner Gervais
November 2013
 

Canada, in keeping with the rest of the world, has seen unprecedented change in the regulation of the financial markets over the past five years – not only in scope and detail, but also in speed of implementation. At the same time, regulators have stepped up their oversight with both broad-based and targeted compliance audits, resulting in the need for financial services participants to place an increasing focus on compliance.

The hedge fund industry has been under particular regulatory scrutiny, and it is imperative that hedge fund managers keep pace with regulatory developments and also develop effective compliance systems, including policies and procedures. Since 2007, the Investment Management practice group at Borden Ladner Gervais LLP (BLG) has annually published tips for performing a self-diagnosis of your compliance regime. This Investment Management Bulletin provides guidance for your 2013 annual compliance check-up and points out what may be ahead by way of regulatory focus.

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