Search
Searching Content by Jeffrey Collins from Foley Hoag LLP ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4  
>>Next
 
Title
Country
Organisation
Author
Date
1
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
2
SEC Increases Performance Fee Thresholds
As noted in a previous alert, the Securities and Exchange Commission has now issued an Order, effective as of August 15, 2016 (the "Effective Date"), which amends SEC Rule 205-3...
United States
13 Jul 2016
3
SEC Issues Notice Of Intent To Increase Performance Fee Thresholds
On May 24, 2016, the Securities and Exchange Commission published in the Federal Register a notice of the Commission's intent to issue an order amending SEC Rule 205-3 under the Investment Advisers Act of 1940, as amended.
United States
1 Jun 2016
4
CFTC 4.13(a)(3) Annual Affirmations Due February 29
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3)...
United States
17 Feb 2016
5
ERISA Fiduciaries May Factor Climate Change Issues Into Economic Analysis Of Investments
New guidance from the US Department of Labor ("DOL") clarifies the role of environmental, social and governance issues (referred to as "ESG factors") in investment decisions by ERISA fiduciaries.
United States
5 Jan 2016
6
SEC To Recommend Additional Compliance Rules For Investment Advisers
The reviews would not replace examinations conducted by the Office of Compliance Inspections and Examinations ("OCIE"), but would supplement them in order to improve compliance by registered investment advisers.
United States
16 Nov 2015
7
FinCEN Proposed AML Rule For Investment Advisers
The Financial Crimes Enforcement Network, a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange Commission.
United States
17 Sep 2015
8
Bureau Of Economic Analysis (BEA) Form BE-10 August 31, 2015 Deadline Approaching
For those clients that received extensions on the filing deadline for their BE-10 surveys, they are reminded that the August 31, 2015 deadline is approaching.
United States
27 Aug 2015
9
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
10
SEC Division Of Investment Management Issues Guidance On Personal Trade Reporting Of Accounts Over Which Reporting Persons Have No Influence Or Control
Advisers should closely examine the facts and circumstances of any account for which their access persons are claiming the reporting exception in order to evaluate compliance with Rule 204A-1 in light of this guidance.
United States
6 Jul 2015
11
Bureau Of Economic Analysis (BEA) Form BE-10: Industry Concern Voiced And Extension Updates
We also understand that the BEA has agreed to participate in a joint webinar with the ACG in mid-July where members of the public will be able to ask questions.
United States
16 Jun 2015
12
Bureau Of Economic Analysis (BEA) Form BE-10 Extension Until June 30, 2015
The BEA has posted on its website that the filing deadline for all "new filers" for the BE-10 (which is the five year benchmark survey of United States direct investment abroad) has been extended to June 30, 2015.
United States
3 Jun 2015
13
Bureau Of Economic Analysis (BEA) Form BE-10 FAQs For Private Fund Filers Available
As we noted in our recent Foley Adviser, the BEA suggested that it may issue Frequently Asked Questions (FAQs) to private fund filers.
United States
15 May 2015
14
Updated Filing Requirements In Connection With U.S. Inbound And Outbound Investment
The BEA has reinstated the reporting requirement that parties engaging in certain investment activities into the U.S. file a BE-13 report.
United States
13 May 2015
15
CFTC 4.13(a)(3) Annual Affirmations Due March 2
As a reminder, fund managers relying on the exemption from registration with the US CFTC set forth in Rule 4.13(a)(3) must affirm their claim of exemption by March 2, 2015.
United States
10 Feb 2015
16
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 fundís fiscal year.
United States
29 Jan 2015
17
Cayman Islands Directors Registration And Licensing Law: CIMA Requires Registration Or Licensing Of Fund Directors By September 3 (Including Directors Employed By Fundís Investment Manager)
Under the Cayman Islands Directors Registration and Licensing Law 2014 directors of "mutual funds" must register with the Cayman Islands Monetary Authority.
Cayman Islands
28 Jul 2014
18
SEC Issues No-Action Letter On The Definition Of Knowledgeable Employee
The Division of Investment Management of the SEC issued a no-action letter providing guidance on the definition of knowledgeable employee.
United States
25 Mar 2014
19
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
20
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
Links to Result pages
 
1 2 3 4  
>>Next