HEDGE FUNDS
Operations & Compliance: Compliance Program Design

GreenTrader professionals work closely with investment advisers and hedge funds to design, create, and implement advisers' and funds' separate compliance programs.

SEC or state registered investment advisers must have a compliance program; whereas non- registered advisers should have one.

Our compliance program designs are geared towards protecting investor interests; but this also protects advisers' and funds' interests. Their absolute and required "fiduciary duty" to "put investors' interests before their own" is the main reason that all advisers (registered or not) need to adopt strong compliance programs.

Our professionals can design and help execute your hedge fund and investment adviser's compliance manual, code of ethics, and related compliance materials.

We also help advisers and funds execute their compliance programs over time, to help them stay clear of trouble.

To learn more about compliance programs and the importance of design elements, follow these two links.

Final Rule: Compliance Programs of Investment Companies and Investment ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270 and 275 [Release Nos. IA-2204; IC-26299; File No. S7-03-03] RIN 3235-AI77 Compliance Programs of Investment Companies and Investment Advisers. Click here to jump ahead to the bullet points on what should be included in a compliance program.

“Compliance" and "SEC registration” are the new buzzwords in the hedge fund industry. Is it media hype, over-reaching regulation, a trend towards meaningful and necessary reforms, or all of the above at once? For an original article by Robert A. Green, our CPA & CEO, published in Active Trader magazine (October 2005), click here.

How we work and the services we provide.

Our professionals start the compliance design process by reviewing a hedge fund's paperwork and agreements, including, but not limited to: offering documents, including all disclosures such as conflicts of interest; entity formations; LLC operating agreements; subscription materials; adviser registrations; marketing and advertising materials; and agreements with vendors, brokers, employees, consultants, and investors.

Our professionals also interview senior management, traders and support personnel.

If you are interested in any of our operation and compliance services, please email us at compliance@greencompany.com or call us (speak with Robert Green, CPA, to start). We look forward to working with you soon.