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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
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
16
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
17
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staffís 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
18
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 fundís fiscal year.
United States
29 Jan 2015
19
Republican State Parties Challenge SECís Pay-To-Play Rule
The New York Republican State Committee and Tennessee Republican Party filed a civil suit against the Securities and Exchange Commission.
United States
27 Aug 2014
20
SEC Issues No-Action Letter On The Definition Of Knowledgeable Employee
The Division of Investment Management of the SEC issued a no-action letter providing guidance on the definition of knowledgeable employee.
United States
25 Mar 2014
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