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Searching Content indexed under Corporate/Commercial Law by Robert Sawyer ordered by Published Date Descending.
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1
SBA Simplifies Filings Requirements For SBIC Applicants
On September 17, 2019, the Licensing Department of the Investment Division of the U.S. Small Business Administration ("SBA")
United States
26 Sep 2019
2
SEC OCIE Risk Alert Update: Supervision Of Disciplined Individuals
On July 23, 2019, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released
United States
21 Aug 2019
3
Investment Adviser Agrees To Pay $5 Million For Compliance Deficiencies In Valuing Client Assets
On June 4, 2019, the SEC announced that Deer Park Road Management Company, LP, a prominent private fund manager in the mortgage-backed securities space and registered investment adviser...
United States
13 Jun 2019
4
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
5
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
6
OCIE Issues Risk Alert On Compliance Deficiencies Relating To The Cash Solicitation Rule
On October 31, 2018, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE)
United States
14 Nov 2018
7
OCIE Issues Risk Alert On Compliance Issues For Advisory Fees And Expenses Practices
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently released a Risk Alert summarizing the most frequent compliance ...
United States
30 May 2018
8
Passive Business Rule
Small Business Investment Companies ("SBICs") are generally prohibited from investing in passive (i.e., non-operating) small businesses under the Small Business Investment Act of 1958...
United States
30 Oct 2017
9
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
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
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
12
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
13
OCIE Issues Risk Alert Relating To Outsourced Chief Compliance Officers
Based on the OCIE Staff's reviews of the firms' compliance policies and programs administered by outsourced CCOs, they noted the following as criteria for successful outsourcing of CCO responsibilities...
United States
20 Nov 2015
14
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
15
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
16
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staffís view that funds and investment advisers may wish to consider the following in order to address cybersecurity risk in their organizations
United States
30 Apr 2015
17
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 fundís fiscal year.
United States
29 Jan 2015
18
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 12
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 12 in order to cover such fees.
United States
25 Nov 2014
19
Republican State Parties Challenge SECís Pay-To-Play Rule
The New York Republican State Committee and Tennessee Republican Party filed a civil suit against the Securities and Exchange Commission.
United States
27 Aug 2014
20
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
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