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1
Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 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 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
4
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
5
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
6
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans
The proposed rule would amend current Rule 204-2 under the Investment Advisers Act of 1940 (the "Advisers Act") and require certain recordkeeping of such plans.
United States
18 Jul 2016
7
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
8
Upcoming FATCA Deadlines
In each of these cases, a pre-existing account will not become subject to FATCA until its value exceeds $1 million on a subsequent December 31st.
United States
1 Jul 2016
9
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
10
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
11
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
12
Legal Perspectives On A "Game Changer" For Responsible Investment In The United States
The report builds upon an interpretative bulletin released by the U.S. Department of Labor in October 2015.
United States
24 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
Amendment To The Annual Privacy Notice Delivery Obligations Of Financial Institutions Under The Gramm-Leach-Bliley Act Contained In The FAST Act
On December 4, 2015, President Obama signed the Fixing America's Surface Transportation Act (the ‘‘FAST Act'') into law.
United States
12 Jan 2016
15
ERISA Fiduciaries May Factor Climate Change Issues Into Economic Analysis Of Investments
New guidance from the US Department of Labor ("DOL") clarifies the role of environmental, social and governance issues (referred to as "ESG factors") in investment decisions by ERISA fiduciaries.
United States
5 Jan 2016
16
Common Reporting Standard And FATCA
For the past few years, FATCA has dominated the international tax compliance landscape. As that regime continues to be phased-in, a new regime will begin to be implemented around the world.
Worldwide
29 Dec 2015
17
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
18
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
19
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
20
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
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