Hedge Fund Due Diligence Expert

Case Description:

A hedge fund due diligence expert was needed in a financial securities dispute involving alleged negligent monitoring and failure to adhere to investment due diligence, customary investment standards and practices, and reporting procedures owed to investors in certain hedge fund of funds investments. A major financial holding company owned by a hedge fund of funds firm was involved in a dispute alleging mismanagement of its hedge fund investments, which was claimed to have resulted in large financial losses accruing to its investors.

IMS ExpertServices was asked to locate a hedge fund due diligence expert with significant financial securities experience in the standards and practices related to investment due diligence, investigation, and monitoring of hedge fund investments. This expert was required to have experience and knowledge regarding customary practices for reporting disclosures, duty of care regarding hedge fund administration, and standards of care in the maintenance and supervision of clients’ investments.

Experts Presented:

  • Hedge Fund Expert

    With extensive experience in hedge funds, including hedge fund investment strategy and as an advisor to S&P in development of its hedge fund index, this hedge fund expert is the founder and president of a professional financial securities consulting firm specializing in matters involving securities, hedge funds, and hedge fund of funds on due diligence, risk management, and asset allocation. He has over two and a half decades of senior management experience with banks, hedge funds, and investment management companies. Prior to founding his own consulting firm, this expert served as a senior vice president of a major bank and managing director of another prominent banking institution. He has taught graduate level business courses at three of the leading business schools in the nation, and holds a B.A. and M.A. and M.Phil. from two prominent universities. IMS Reference # 5011604.

  • Hedge Fund Due Diligence Expert

    With two decades of financial services experience, this hedge fund due diligence expert has extensive hedge fund of funds managing experience, and has specialized in hedge fund compliance, finances, and operations for over a decade. He is the regional director of an investment management practice that provides financial consulting services to a variety of registered and unregistered financial services firms, including investment advisors, hedge funds, and private equity funds. He is a noted speaker and recognized authority in hedge fund regulatory matters, having served as chief compliance officer and managing director of risk for a multi-billion dollar hedge fund complex. He is an adjunct professor at a prominent law school and holds a J.D. in securities and corporate law. IMS Reference # 5062256.

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Industry: All, Finance, Securities