Proactive regulation: The registration of hedge fund advisers
LE3 .A278 2006
2006
VanBlarcom, Brian
Acadia University
Bachelor of Business Administration
Honours
Business Administration
Business
The mandatory registration of certain hedge fund advisers by the United States Securities and Exchange Commission was established to improve investor protection within the financial services sector. This new rule was met with objection from both industry professionals and trade associations. Critics on supporting and opposing sides put forth valid concerns related to its implementation. With significant emphasis on secondary research, this thesis conducts a closer study of regulatory intentions, administrative implementations, and industry ramifications in determining whether registration of hedge fund advisers is an appropriate step for the industry. A study of this issue involves a review of the fundamentals of investor protection and an analysis of the costs, benefits, and alternatives of registration. The study suggests that the mandatory registration of hedge fund advisers is an appropriate action for strengthening investor protection.
The author retains copyright in this thesis. Any substantial copying or any other actions that exceed fair dealing or other exceptions in the Copyright Act require the permission of the author.
https://scholar.acadiau.ca/islandora/object/theses:499