Databento guides
Trading compliance
A comprehensive handbook on recent regulations and concepts for hedge funds, trading firms, and compliance professionals.
Distribution waterfallMaterial non-public informationHart-Scott-Rodino (HSR) ActLock-up periodPerformance feeFINRA Rule 5131Schedule 13GSection 704(b) allocationsGlobal Intangible Low-Taxed Income (GILTI)Accredited investorAnti-money laundering (AML)BOI reportingBlue sky lawsBoard of directorsBuy-sell agreementCapital introductionCarried interestCarry poolCFTC Rule 4.7CFTC Rule 4.13Clawback provisionCode of ethicsCommodity pool operator (CPO)Commodity trading advisor (CTA)Compensation clawbackCompliance manualConfidentiality agreementConflicts of interestControlled foreign corporation (CFC)Corporate Transparency Act (CTA)Directed selling effortsDirector independenceDispute resolutionDodd-Frank ActDomestic fundDrawdownDTCCDue diligence questionnaire (DDQ)Effectively connected income (ECI)ERISAExempt reporting adviserFair valueFATCAFBAR filingFDAP incomeFeeder fundFinCENFINRA Rule 5130Foreign Corrupt Practices Act (FCPA)Foreign-derived intangible income (FDII)Form 8621Form 8938Form 926Form ADVForm CPO-PQRForm CTA-PRForm DForm PFFounders' classesFund administratorFund of fundsFund-level gateGAAPGarden leaveGate provisionGeneral partner (GP)Gross-of-fee returnsHard lock-upHigh-water markHurdle rateHypothetical performanceIncentive allocationIndependent auditorInvestment Advisers Act of 1940Investment Company Act of 1940ISDA master agreementKnow your customer (KYC)Limited partner (LP)Loss carryforwardManagement companyManagement feeManagement sharesMark-to-market electionMaster-feeder structureMemorandum and articles of association (M&A)Mini-master structureMost favored nation (MFN)Multi-series and equalization accountingNet-of-fee returnsNew issuesNon-competition covenantNon-disparagement clauseNon-solicitation covenantNon-voting sharesOFAC sanctionsOffshore fundOmnibus accountsOperating agreementPartner withdrawalPartnership agreementPartnership audit rulesPassive foreign investment company (PFIC)Performance advertisingPerformance attributionPersonal trading policyPortfolio concentrationPortfolio leveragePortfolio liquidityPost-employment restrictionsPrivate placement memorandum (PPM)Qualified clientQualified eligible person (QEP)Qualified purchaserRedemption feeRedemption gateRedemption notice periodRedemption rightsRegistered investment adviser (RIA)SEC Regulation DSEC Regulation MSEC Regulation SSEC Regulation SHORehypothecationRestricted personsSEC Rule 10b5-1SEC Rule 10b5-2SEC Rule 206(4)-2SEC Rule 206(4)-7SEC Rule 206(4)-8SEC Rule 506(b)SEC Rule 506(c)Schedule 13DSchedule 13FSchedule 13HSection 13(d)Section 13(f)Section 199A deductionSection 3(c)(1)Section 3(c)(7)Section 754 electionSecurities Act of 1933Securities Exchange Act of 1934Seed agreementSegregated accountsSeries accountingShort sellingSide letterSide pocketSide-by-side structureSoft dollarsSoft lock-upSpecial purpose vehicle (SPV)Subscription agreementSuspensionsTarget returnsTax blockerTrack record ownershipTrack record portabilityTrade allocationUnrelated business taxable income (UBTI)Value at risk (VaR)Volcker ruleW-8BENW-8IMYW-9Withdrawal rights
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Capital introduction Carried interest Carry pool CFTC Rule 4.7 CFTC Rule 4.13 Clawback provision Code of ethics Commodity pool operator (CPO) Commodity trading advisor (CTA) Compensation clawback Compliance manual Confidentiality agreement Conflicts of interest Controlled foreign corporation (CFC) Corporate Transparency Act (CTA)
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FINRA Rule 5131 Fair value FATCA FBAR filing FDAP income Feeder fund FinCEN FINRA Rule 5130 Foreign Corrupt Practices Act (FCPA) Foreign-derived intangible income (FDII) Form 8621 Form 8938 Form 926 Form ADV Form CPO-PQR Form CTA-PR Form D Form PF Founders' classes Fund administrator Fund of funds Fund-level gate
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Performance fee Partner withdrawal Partnership agreement Partnership audit rules Passive foreign investment company (PFIC) Performance advertising Performance attribution Personal trading policy Portfolio concentration Portfolio leverage Portfolio liquidity Post-employment restrictions Private placement memorandum (PPM)
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Schedule 13G Section 704(b) allocations SEC Regulation D SEC Regulation M SEC Regulation S SEC Regulation SHO SEC Rule 10b5-1 SEC Rule 10b5-2 SEC Rule 206(4)-2 SEC Rule 206(4)-7 SEC Rule 206(4)-8 SEC Rule 506(b) SEC Rule 506(c) Schedule 13D Schedule 13F Schedule 13H Section 13(d) Section 13(f) Section 199A deduction Section 3(c)(1) Section 3(c)(7) Section 754 election Securities Act of 1933 Securities Exchange Act of 1934 Seed agreement Segregated accounts Series accounting Short selling Side letter Side pocket Side-by-side structure Soft dollars Soft lock-up Special purpose vehicle (SPV) Subscription agreement Suspensions
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