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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Jeffrey Collins 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 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
2
CFTC 4.13(a)(3) Annual Affirmations Due February 29
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3)...
United States
17 Feb 2016
3
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
4
CFTC 4.13(a)(3) Annual Affirmations Due March 2
As a reminder, fund managers relying on the exemption from registration with the US CFTC set forth in Rule 4.13(a)(3) must affirm their claim of exemption by March 2, 2015.
United States
10 Feb 2015
5
Recent CFTC Changes And Looming Deadlines
Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the "CFTC") are quickly approaching.
United States
27 Nov 2012
6
CFTC Eliminates Rule 4.13(a)(4) Exemption From Registration
The U.S. Commodity Futures Trading Commission (the "CFTC") has adopted a final rule that rescinds the exemption from registration as a commodity pool operator currently available under CFTC Rule 4.13(a)(4).
United States
17 Feb 2012
7
The President Proposes Broad Reform Of The Financial Regulatory System
On June 17, 2009, President Barack Obama released a series of proposed initiatives entitled Financial Regulatory Reform: A New Foundation (the “White Paper”), which, if implemented, would effect sweeping reforms to the U.S. financial regulatory system.
United States
24 Jun 2009
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