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Searching Content indexed under Strategy by Jeffrey Collins ordered by Published Date Descending.
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1
New DOL 408(b)(2) Rules Require Disclosures By Investment Managers To Their ERISA Plan Clients And To Any Funds They Manage Which Are Subject To ERISA: Deadline Is July 1, 2012
New regulations issued by the Department of Labor under ERISA Section 408(b)(2) require certain disclosures by investment managers to their ERISA clients of the fees and other compensation paid to the investment manager for services provided to such clients.
United States
14 Jun 2012
2
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
3
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
4
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
5
Massachusetts Secretary Of State Proposes Amended 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
18 Jan 2012
6
Massachusetts Securities Division Adopts Regulations For Use Of Expert Network Services By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the use of expert network services by investment advisers in Massachusetts (regardless of whether the adviser is registered with the Division or exempt from registration). Under new 950 CMR 12.205(9)(c)(16), investment advisers in Massachusetts will be required to obtain a written certification before engaging an expert network service (the "Expert Network Rule").
United States
14 Nov 2011
7
Discussion Draft Bill Proposes SRO for Investment Advisers
On September 8, 2011, Representative Bachus (R-Ala.), Chairman of the House Financial Services Committee, introduced a discussion draft of the Investment Adviser Oversight Act of 2011 which proposes allowing a self-regulatory organization ("SRO") to oversee investment advisers.
United States
6 Oct 2011
8
Bulldog II: SJC Eliminates First Amendment Challenge To Securities Violations Found By The Massachusetts Securities Division
A decision by the Massachusetts Supreme Judicial Court ("SJC") on September 22, 2011, lays to rest the Secretary of the Commonwealth’s finding that a hedge fund manager, Bulldog Investors General Partnership ("Bulldog"), and its principals, violated the Massachusetts Securities Act through its operation of an interactive website that provided investment information to all visitors.
United States
4 Oct 2011
9
Reminder: Increased "Qualified Client" Dollar Amount Tests To Take Effect On September 19
On September 19, 2011, the Securities and Exchange Commission’s (the "SEC") increased dollar amount thresholds for "qualified clients" as defined under rule 205-3 of the Investment Advisers Act of 1940, as amended, will go into effect.
United States
19 Sep 2011
10
Massachusetts Securities Division Adopts Regulations Regarding The Charging Of Performance Based Fees By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the charging of performance based fees by investment advisers (the "Performance Fee Rule".)
United States
19 Aug 2011
11
Massachusetts Securities Division Releases Report On Investment Advisers’ Use Of Social Media; New Regulations Anticipated
On July 6, 2011, the Securities Division of The Office of the Secretary of the Commonwealth (the "Securities Division") released a report on the results of a social media survey it previously sent to Massachusetts-registered investment advisers.
United States
19 Jul 2011
12
SEC Issues Order Approving Adjustment to "Qualified Client" Dollar Amount Tests
An investment adviser registered with the Securities and Exchange Commission may only charge a performance fee with respect to "qualified clients."
United States
19 Jul 2011
13
SEC Adopts Final Dodd-Frank Registration Rules And Extends Deadline For Compliance
At an open meeting of the Securities and Exchange Commission (the "SEC") held earlier today, the SEC adopted final rules relating to the implementation of the changes to the registration requirements contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
24 Jun 2011
14
SEC Contemplates Extending Registration Deadlines For Investment Advisers
In a letter dated April 8, 2011 to the President of the North American Securities Administrators Association, Inc., Robert E. Plaze, Associate Director of the Securities and Exchange Commission ("SEC"), indicated that the SEC will consider extending the deadlines by which certain advisers must register with the SEC, or switch from SEC to state registration, under the new provisions of the Dodd-Frank Wall Street Reform and Consumer Protect Act (the "Dodd-Frank Act").
United States
15 Apr 2011
15
Investment Adviser Important Dates And Reminders
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
2 Feb 2011
16
SEC Proposes Definition of "Family Office"
On October 12, 2010, the Securities and Exchange Commission ("SEC") released for comment a new proposed Rule 202(a)(11)(G)-1 (the "Proposed Rule").
United States
1 Nov 2010
17
Further Guidance On The Revised Accredited Investor Standard
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") sets forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an "accredited investor" for purposes of Regulation D under the Securities Act of 1933, as amended (the primary private placement exemption relied on by investment advisers managing private investment funds).
United States
11 Aug 2010
18
SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5)
On Wednesday June 30, 2010, members of the Securities and Exchange Commission (the "SEC") voted unanimously to approve new Rule 206(4)-5 (the "Rule") adopted under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
26 Jul 2010
19
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
20
Senate Passes Final Wall Street Reform Legislation (The Dodd-Frank Act)
On July 15, 2010, the U.S. Senate (the "Senate") voted 60-39 to approve the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Bill").
United States
21 Jul 2010
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