kaal:claim:2150377-020

Advisers responded to Dodd-Frank registration mainly through administrative and advisory adjustments: the most common actions were outsourcing compliance work, hiring additional counsel, instituting new record keeping policies, hiring additional staff, changing marketing materials, and changing investor communications.

The most common actions taken include: (1) outsourced compliance work, (2) hired additional counsel, (3) instituted new record-keeping policies, (4) hired additional staff, (5) changed marketing materials, and (6) changed communications with investors.

Wulf A. Kaal, Hedge Fund Manager Registration Under the Dodd-Frank Act (2012), A. Common Actions
https://ssrn.com/abstract=2150377 · source PDF

Wulf A. Kaal, Hedge Fund Manager Registration Under the Dodd-Frank Act (2012). SSRN: https://ssrn.com/abstract=2150377

• survey respondents, n=94
• within three months of the March 30, 2012 registration effective date

empiricalsupport: evidencedcomplianceempirical-evidence

• extended_by kaal:claim:2732915-019 The most common adviser responses to Title IV are outsourcing compliance work, hiring additional counsel, inst...

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Attestation record: colloquium/attestations/331c16dd41385a98...json
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