Questions for Third Party Marketers: #4

August 6, 2007 |

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This is the fourth part of our series of five questions every hedge fund manager should ask third party marketers/sales agents.

Registrations - does the sales agent have any? Find out what registrations the firm and its officers may hold. Are any of the officers a registered investment advisor, commodity trading advisor, is the firm a broker-dealer, etc? Ask them to provide you with copies of the registrations. If they are registered, contact the relevant association(s) to find out about any disciplinary action they might have received.  This last part is simple and can yield a great deal of information.

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