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Searching Content indexed under Corporate/Commercial Law by Jeffrey Collins ordered by Published Date Descending.
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1
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
2
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
3
SEC Division Of Investment Management Issues Guidance On Personal Trade Reporting Of Accounts Over Which Reporting Persons Have No Influence Or Control
Advisers should closely examine the facts and circumstances of any account for which their access persons are claiming the reporting exception in order to evaluate compliance with Rule 204A-1 in light of this guidance.
United States
6 Jul 2015
4
Important Deadlines And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
Advisers to funds of funds must deliver such statements within 180 days of the end of the fund’s fiscal year.
United States
29 Jan 2015
5
Cayman Islands Directors Registration And Licensing Law: CIMA Requires Registration Or Licensing Of Fund Directors By September 3 (Including Directors Employed By Fund’s 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
6
SEC Issues No-Action Letter On The Definition Of Knowledgeable Employee
The Division of Investment Management of the SEC issued a no-action letter providing guidance on the definition of knowledgeable employee.
United States
25 Mar 2014
7
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
4 Mar 2014
8
Important Dates And Reminders For Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
31 Jan 2013
9
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
10
August 3 Deadline Approaching For Compliance With New Massachusetts Investment Adviser Registration/Exemption Requirements
Massachusetts based advisers who are exempt reporting advisers ("ERA") with the SEC may also be required to comply with these requirements.
United States
24 Jul 2012
11
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
12
SEC Issues Guidance On Use Of Social Media By Investment Advisers
On January 4, 2012 the SEC’s Office of Compliance Inspections and Examinations issued an exam alert to registered investment advisers which included guidance on the use of social media.
United States
18 Jan 2012
13
SEC Grants Extension of Compliance Date for Delivery of Part 2B of Form ADV
On December 28, 2010, the Securities and Exchange Commission (the "SEC") granted an extension to the deadline for complying with certain portions of the new Part 2, Form ADV requirements.
United States
6 Jan 2011
14
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
15
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
16
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
17
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
18
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
19
Annual Information Report On Foreign Financial Accounts Now Includes Investments In Offshore Hedge Funds, Private Equity Funds And Mutual Funds
Every U.S. person with a financial interest in, or signature or other authority over, any financial account outside the U.S. must file an annual report on Treasury Form TD F 90-22.1 (Report of Foreign Bank and Financial Accounts, commonly known as an “FBAR”) if the aggregate value of all such accounts exceeds 10,000 USD at any time during the calendar year.
United States
24 Jun 2009
20
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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