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Searching Content indexed under Investment Strategy by Meredith Haviland ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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. Many advisers traditionally conduct this review in March of each year.
United States
5 Feb 2010
8
SEC Adopts Revised Custody Rule Enhancing Controls That Apply To Registered Investment Advisers
On December 16, 2009, the Securities and Exchange Commission (the "SEC" or "Commission") approved the adoption of amendments to Rule 206(4)-2 of the Investment Advisers Act of 1940 (the "Advisers Act"), which relates to custody of client assets.
United States
13 Jan 2010
9
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
19 Feb 2009
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