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Searching Content indexed under Finance and Banking by Robert Sawyer ordered by Published Date Descending.
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1
SBA Announces New Fee On Leverage Draws And New Process For Leverage Approval Notices
On August 14, 2019, the U.S. Small Business Administration ("SBA") announced that it will charge a new fee on draws of committed SBA leverage made on and after October 1, 2019.
United States
23 Aug 2019
2
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
3
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
4
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
5
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 17
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 17 in order to cover such fees...
United States
6 Dec 2018
6
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
7
SEC Adopts Rules To Enhance Adviser Reporting
Recently enacted SEC rules have imposed several amendments to Form ADV that advisers should be aware of, and which will apply to all Form ADVs filed after September 31, 2017.
United States
21 Aug 2017
8
DOL Provides Temporary Enforcement Relief On Fiduciary Rule
The U.S. Department of Labor issued a Field Assistance Bulletin (FAB 2017-01) on Friday, March 10, 2017 to address near-term compliance concerns relating to a proposed 60-day delay of the Fiduciary Rule.
United States
28 Mar 2017
9
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
10
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
11
SEC Waives Custody Rule Requirements For Certain Affiliated Sub-Advisers
Under the SEC Rule 206(4)-2, the "custody rule," registered investment advisers with custody of client funds or securities are required to take a number of steps designed to safeguard those client assets.
United States
27 May 2016
12
Leap Year Means Earlier Due Date For Form ADV
As a reminder, Form ADV for registered advisers (Parts 1 and 2A) and Exempt Reporting Advisers (relevant portions of Part 1) must be updated within 90 days after the end of their fiscal year.
United States
29 Mar 2016
13
SEC Issues Report On Review Of "Accredited Investor" Definition
On December 18, 2015, the Securities and Exchange Commission (the "SEC") issued a report evaluating the definition of "accredited investor" as part of its obligations...
United States
12 Jan 2016
14
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
15
SBIC Advisers Relief Act Expected To Be Adopted Into Law
As originally adopted, the Advisers Act exemption for advisers whose only clients were SBICs (set forth in Section 203(b)(7) of the Advisers Act) was a federal exemption only, leaving SBIC advisers subject to state regulation.
United States
9 Dec 2015
16
Possible Examination By SEC Of Exempt Reporting Advisers
In light of the above, ERAs may wish to evaluate their compliance policies and procedures to ensure their conformity with current legal and regulatory requirements.
United States
7 Dec 2015
17
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
18
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
19
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
20
SEC Proposes Rules Imposing Additional Reporting And Recordkeeping Requirements For Investment Advisers
The proposed rules will be published in the Federal Register, and the comment period will remain open for 60 days after such publication date.
United States
26 May 2015
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