Welcome to Scribd. Sign in or start your free trial to enjoy unlimited e-books, audiobooks & documents.Find out more
Standard view
Full view
of .
Look up keyword or section
Like this

Table Of Contents

Disclosure and Investor Protection
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
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
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
0 of .
Results for:
No results containing your search query
P. 1
AMC Report - Final Best Practices for the Hedge Fund Industry

AMC Report - Final Best Practices for the Hedge Fund Industry

|Views: 194|Likes:
Published by Dom DeSicilia

More info:

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


Read on Scribd mobile: iPhone, iPad and Android.
download as PDF, TXT or read online from Scribd
See more
See less





You're Reading a Free Preview
Pages 4 to 52 are not shown in this preview.
You're Reading a Free Preview
Pages 54 to 67 are not shown in this preview.

You're Reading a Free Preview

/*********** DO NOT ALTER ANYTHING BELOW THIS LINE ! ************/ var s_code=s.t();if(s_code)document.write(s_code)//-->