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Course Information

Hedge Fund Regulation and Compliance Short Course

Through lecture and case-study, this short course is designed to introduce students to the structure and goals of hedge funds and the relevant laws and regulations that govern them. Having established a working foundation of what a hedge fund is and how they operate, students will focus on the structure of the compliance departments that monitor them and the ethical obligations of in-house compliance and legal departments. Cases will involve some of the significant issues monitored by compliance such as insider trading, failure to disclose information to investors, conflicts of interest, FCPA issues, Anti-money laundering issues, and presentation of the fund’s performance.  Pass/Fail [1]