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Searching Content by Tiffany Ann Ford from Foley Hoag LLP ordered by Published Date Descending.
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April 1, 2019: Effective Date Of NFA Compliance Rule 2-9
As a reminder, pursuant to an Interpretive Notice recently released by the National Futures Association ("NFA"), all commodity pool operators ("CPOs") ...
United States
10 Apr 2019
2
Late Fee For NFA Forms PQR And PR Filings Effective Starting September 30, 2016
The National Futures Association recently amended NFA Compliance Rule 2-46 in order to impose late fees for its commodity pool operator (CPO) and commodity trading adviser members...
United States
7 Jul 2016
3
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
4
NFA Amends Interpretive Notice Regarding NFA Compliance Rules 2-7 And 2-24 And Registration Rule 401
The term security futures product ("SFP") encompasses security futures and options on security futures.
United States
30 Dec 2015
5
CFTC And NFA Issue FAQS On Form CPO-PQR And Form CTA-PR
The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (the "CFTC") recently issued answers to Frequently Asked Questions ("FAQs") regarding CFTC Form CPO-PQR...
United States
29 Dec 2015
6
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
7
SEC Issues Risk Alert On Investment Advisersí Due Diligence Processes For Selecting Alternative Investments
On January 28, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued a National Exam Program Risk Alert resulting from its review of advisersí due diligence processes for selecting alternative investments.
United States
3 Mar 2014
8
CFTC 4.13(a)(3) Annual Affirmations Due March 3, 2014
As a reminder, fund managers relying on the exemption from registration with the US 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 March 3, 2014.
United States
3 Mar 2014
9
New FINRA Rule 5131: Implications For Fund Managers
On May 27, 2011, new Rule 5131 ( New Issue Allocations and Distributions) of the Financial Industry Regulatory Authority, Inc. ("FINRA") will go into effect.
United States
9 May 2011
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