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Searching Content indexed under Fund Management/ REITs by Tiffany Ann Ford ordered by Published Date Descending.
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Cayman Islands Directors Registration And Licensing Law: CIMA Requires Registration Or Licensing Of Fund Directors By September 3 (Including Directors Employed By Fundís Investment Manager)
Under the Cayman Islands Directors Registration and Licensing Law 2014 directors of "mutual funds" must register with the Cayman Islands Monetary Authority.
Cayman Islands
28 Jul 2014
2
CFTC 4.13(a)(3) Annual Affirmations Due March 3, 2014
As a reminder, fund managers relying on the exemption from registration with the US 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 March 3, 2014.
United States
3 Mar 2014
3
New FINRA Rule 5131: Implications For Fund Managers
On May 27, 2011, new Rule 5131 ( New Issue Allocations and Distributions) of the Financial Industry Regulatory Authority, Inc. ("FINRA") will go into effect.
United States
9 May 2011
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