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The Rise of Alternative Mutual Funds

June 2014
Presenters: J. Matthew Mangan

Watch Recording.

Alternative mutual funds have been rapidly increasing in popularity, and growing in assets, flows, and variety of investment strategies. As a result, SEC examinations have been focusing on alternative funds, their managers, and financial advisers that recommend them, and the SEC staff has made clear that this area is a priority. This program provides an overview of alternative mutual funds, the regulatory issues they present, and practical compliance considerations associated with the opportunities and challenges facing the alternative mutual fund business. It covers a number of important topics, including:

  • Market overview
  • How alternative strategies can work under the 1940 Act
  • Prime brokers, leverage and derivatives
  • SEC, CFTC, and tax issues and compliance tips


  • Peter Guarino, Vice President, Cordium
  • Matthew Mangan, Investment Management Partner, K&L Gates
  • Mark Perlow, Investment Management Partner, K&L Gates
  • Zac Rosenberg, Assistant Vice President, Cordium