Searching Content indexed under Finance and Banking by Catherine M. Anderson ordered by Published Date Descending.
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Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans
The proposed rule would amend current Rule 204-2 under the Investment Advisers Act of 1940 (the "Advisers Act") and require certain recordkeeping of such plans.
United States
18 Jul 2016
Amendment To The Annual Privacy Notice Delivery Obligations Of Financial Institutions Under The Gramm-Leach-Bliley Act Contained In The FAST Act
On December 4, 2015, President Obama signed the Fixing America's Surface Transportation Act (the ‘‘FAST Act'') into law.
United States
12 Jan 2016
CFTC Approves NFA Interpretive Notice On Information Systems Security Programs, Including Cybersecurity Guidance
Members should review their ISSPs at least annually and should make regular adjustments as needed.
United States
4 Nov 2015
Impact Of New European AIFMD Regulation On SBICs
As a threshold matter, the main provisions of the AIFMD only apply to managers that, in aggregate, have EUR100 million (about USD 112 million at today's exchange rates) or more of assets under management in all of their funds.
United States
20 Oct 2015
Bureau Of Economic Analysis (BEA) Issues New Form BE-180 For U.S. Financial Services Providers Including Investment Advisers
Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers...
United States
7 Oct 2015
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.
7 Aug 2015
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
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
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staff’s view that funds and investment advisers may wish to consider the following in order to address cybersecurity risk in their organizations
United States
30 Apr 2015
Massachusetts Conducting Cybersecurity Practices Survey Of Massachusetts-Registered Investment Advisers
The Massachusetts Securities Division released a survey to assess cybersecurity readiness and practices of Massachusetts-registered investment advisers.
United States
27 Jun 2014
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
Massachusetts Secretary Of State Proposes Amended 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
18 Jan 2012
New Form SLT Reporting Requirements In Effect For Certain Investment Advisers
Effective September 30, 2011, the new Treasury International Capital (TIC) Form SLT is required to be filed by certain custodians, investment managers and investors.
United States
10 Oct 2011
Discussion Draft Bill Proposes SRO for Investment Advisers
On September 8, 2011, Representative Bachus (R-Ala.), Chairman of the House Financial Services Committee, introduced a discussion draft of the Investment Adviser Oversight Act of 2011 which proposes allowing a self-regulatory organization ("SRO") to oversee investment advisers.
United States
6 Oct 2011
SEC Grants Extension of Compliance Date for Delivery of Part 2B of Form ADV
On December 28, 2010, the Securities and Exchange Commission (the "SEC") granted an extension to the deadline for complying with certain portions of the new Part 2, Form ADV requirements.
United States
6 Jan 2011
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