Search
Searching Content indexed under Financial Services by Meredith Haviland ordered by Published Date Descending.
Links to Result pages
 
1  
 
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
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
4
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
5
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
6
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
7
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
8
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
9
July, 21, 2010: Dodd-Frank Act Signed into Law & SEC Commissioners Approve Amendments to Form ADV, Part 2
Earlier today, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act").
United States
22 Jul 2010
10
Investment Adviser Important Dates And Reminders
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually. Many advisers traditionally conduct this review in March of each year.
United States
5 Feb 2010
11
SEC Adopts Revised Custody Rule Enhancing Controls That Apply To Registered Investment Advisers
On December 16, 2009, the Securities and Exchange Commission (the "SEC" or "Commission") approved the adoption of amendments to Rule 206(4)-2 of the Investment Advisers Act of 1940 (the "Advisers Act"), which relates to custody of client assets.
United States
13 Jan 2010
12
Federal Regulation Of Swap Agreements Proposed
On May 4, 2009, Senators Carl Levin, D-Michigan and Susan Collins, R-Maine introduced the Authorizing the Regulation of Swaps Act (the "Swaps Bill" or "Bill") which, if passed, would repeal a number of provisions of US law that currently bar the regulation of swap agreements.
United States
1 Jun 2009
Links to Result pages
 
1