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Searching Content indexed under Fund Management/ REITs by Meredith Haviland ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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 fund’s fiscal year.
United States
29 Jan 2015
6
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
7
Massachusetts Securities Division Sending Letters Requiring Documentation From MA Exempt Reporting Advisers
The Massachusetts Securities Division is currently sending letters to exempt reporting advisers who manage private funds which rely on the exclusion from the definition of "Investment Company" set in Section 3(c)(1) of the Investment Company Act of 1940, as amended.
United States
7 Feb 2013
8
Important Dates And Reminders For Investment Management 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
31 Jan 2013
9
New Registration Requirements For Cayman Islands Master Funds
As the result of a recent amendment to the Cayman Islands Mutual Funds Law, master funds formed in the Cayman Islands may be required to register with the Cayman Islands Monetary Authority (CIMA).
Cayman Islands
9 Feb 2012
10
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
11
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
12
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
13
Upcoming Form ADV Part 2B Deadline
Investment Advisers registered with the US Securities and Exchange Commission (the "SEC") as of December 31, 2010, and that have fiscal years ending December 31, 2010 through April 30, 2011 must start delivering brochure supplements (Part 2B Form ADV) to new and prospective clients by July 31, 2011 and to existing clients by September 30, 2011.
United States
15 Jul 2011
14
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
15
SEC Proposes Rule Relating to Implementation of Section 14A(d) of the Exchange Act
On October 18, 2010, the Securities and Exchange Commission (the SEC) issued proposed rule 14Ad-1, relating to new Section 14A(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
12 Nov 2010
16
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
17
SEC Adopts New Short Selling Rule
On February 23, 2009, the Securities and Exchange Commission (the "SEC") adopted a new short selling rule which places restrictions on the short selling of securities which experience a price decline of 10% or more in one day.
United States
2 Mar 2010
18
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
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