At Fox Rothschild LLP, we have a wealth of experience in
creating and forming broker-dealers, registered investment
advisers, commodity entities and various hedge funds. Over the
years, our strategy has been to work with our clients to develop
these entities while also assisting them in their ongoing business
operations. As a result of the breadth of our experience, we have
produced this handbook as a reference guide for both those who are
contemplating an entrance into this exciting field as well as those
already in the business seeking a handy resource when a question
In anticipation of your interest, we wish to provide you with a
summary of the most common compliance-related issues faced by the
above-referenced entities. Of course, we have not covered every
conceivable issue. Therefore, we suggest that you contact us with
any questions or concerns if an issue should arise. Please keep in
mind that any deviation from the current statutory and regulatory
structure could subject you and your associates to significant
This handbook has been prepared in four parts. The first part
provides a summary of the regulatory issues affecting
broker-dealers, while the second and third parts relate to
registered investment advisers and commodity entity formation and
operation. The fourth part contains a discussion of hedge fund
issues associated with registration as a commodity pool
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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