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Table Of Contents

I. Disclosure of Material Information to Investors
II. Ongoing Information Provided to Investors
III. Side Letters and Parallel Managed Accounts
A. Side Letters
B. Parallel Managed Accounts
IV. Participation of Investors
V. Disclosure to Counterparties8
Valuation
I. The Valuation Committee
II. Implementation of Valuation Policies
III. Valuation Policies and Procedures
A. Baseline Elements of the Valuation Policy
B. Investment Positions with No Readily Ascertainable Market Value
C. Side Pockets and Other Similar Arrangements
Risk Management
I. The Manager’s Approach to Risk Management
A. Identification and Design
B. Measurement, Monitoring and Management
C. Personnel
II. Categories of Risk
A. Liquidity Risk
B. Leverage Risk
C. Market Risk
D. Counterparty Credit Risk
E. Operational Risk
Trading and Business Operations
I. Counterparties
A. Selection of Counterparties
B. Relationships with Counterparties
II. Cash, Margin and Collateral Management
III. Selection of Key Service Providers
IV. Core Infrastructure and Operational Practices
A. Operational Procedures
V. Additional Infrastructure and Operational Practices
A. OTC Derivative Practices
B. Practices for Other Complex Products
C. Staffing and Resources
VI. Core Accounting Processes
VII. Disaster Recovery/Business Continuity
Compliance, Conflicts and Business Practices
Compliance, Conflicts and Business Practices Framework
I. Culture of Compliance
II. Code of Ethics
III. Compliance Manual
A. General Elements of the Compliance Manual
B. Recordkeeping
C. Conflicts of Interest
D. Training and Educating Manager’s Personnel
IV. Compliance Function
A. Chief Compliance Officer
B. Discipline and Sanctions
C. Annual Compliance Review
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AMC Report - Final Best Practices for the Hedge Fund Industry

AMC Report - Final Best Practices for the Hedge Fund Industry

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Published by Dom DeSicilia

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Published by: Dom DeSicilia on May 08, 2011
Copyright:Attribution Non-commercial

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05/08/2011

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