Search
Searching Content by Meredith Haviland from Foley Hoag LLP ordered by Published Date Descending.
Links to Result pages
 
1 2  
>>Next
 
Title
Country
Organisation
Author
Date
1
CFTC 4.13(a)(3) Annual Affirmations Due March 1, 2019
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by this Friday, March 1, 2019.
United States
7 Mar 2019
2
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
3
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 2018
All investment advisers registered with the Securities and Exchange Commission ("SEC") or The Commonwealth of Massachusetts are required to review their compliance policies ...
European Union
27 Feb 2018
4
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 18
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 18 in order to cover such fees.
United States
17 Dec 2015
5
AIFMD: ESMA Recommends The First Wave Of Non-EU Countries To Obtain A Europe-Wide Marketing Passport
The Advice assessed six countries (Guernsey, Hong Kong, Jersey, Singapore, Switzerland and the United States) of the 22 non-EU countries expected to be assessed for the purposes of the extension of the AIFMD passport.
Worldwide
7 Aug 2015
6
Important Deadlines And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
Advisers to funds of funds must deliver such statements within 180 days of the end of the fund’s fiscal year.
United States
29 Jan 2015
7
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 12
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 12 in order to cover such fees.
United States
25 Nov 2014
8
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
4 Mar 2014
9
SEC Releases 2013 Examination Priorities
On February 21, 2013, the US Securities and Exchange Commission released its examination priorities for 2013.
United States
6 Mar 2013
10
CFTC 4.13(a)(3) Annual Affirmations Due By March 1st
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by this Friday, March 1, 2013.
United States
5 Mar 2013
11
Massachusetts Securities Division Sending Letters Requiring Documentation From MA Exempt Reporting Advisers
The Massachusetts Securities Division is currently sending letters to exempt reporting advisers who manage private funds which rely on the exclusion from the definition of "Investment Company" set in Section 3(c)(1) of the Investment Company Act of 1940, as amended.
United States
7 Feb 2013
12
Important Dates And Reminders For Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
31 Jan 2013
13
August 3 Deadline Approaching For Compliance With New Massachusetts Investment Adviser Registration/Exemption Requirements
Massachusetts based advisers who are exempt reporting advisers ("ERA") with the SEC may also be required to comply with these requirements.
United States
24 Jul 2012
14
Massachusetts Securities Division Adopts New Investment Adviser Regulations
The Massachusetts Securities Division (the "Division") has adopted new regulations related to the registration of investment advisers.
United States
22 Feb 2012
15
New Registration Requirements For Cayman Islands Master Funds
As the result of a recent amendment to the Cayman Islands Mutual Funds Law, master funds formed in the Cayman Islands may be required to register with the Cayman Islands Monetary Authority (CIMA).
Cayman Islands
9 Feb 2012
16
Massachusetts Secretary Of State Adopts New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
United States
6 Feb 2012
17
Investment Adviser Important Dates And Reminders - January, 2012
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
30 Jan 2012
18
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
19
SEC Issues Final Rule On Net Worth Standard For Accredited Investors
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") set forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an "accredited investor" for purposes of Regulation D under the Securities Act of 1933, as amended (the primary private placement exemption relied on by investment advisers managing private investment funds).
United States
9 Jan 2012
20
Upcoming Form ADV Part 2B Deadline
Investment Advisers registered with the US Securities and Exchange Commission (the "SEC") as of December 31, 2010, and that have fiscal years ending December 31, 2010 through April 30, 2011 must start delivering brochure supplements (Part 2B Form ADV) to new and prospective clients by July 31, 2011 and to existing clients by September 30, 2011.
United States
15 Jul 2011
Links to Result pages
 
1 2  
>>Next