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Searching Content indexed under Corporate/Commercial Law by Tiffany Ann Ford ordered by Published Date Descending.
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NFA Amends Interpretive Notice Regarding NFA Compliance Rules 2-7 And 2-24 And Registration Rule 401
The term security futures product ("SFP") encompasses security futures and options on security futures.
United States
30 Dec 2015
2
Cayman Islands Directors Registration And Licensing Law: CIMA Requires Registration Or Licensing Of Fund Directors By September 3 (Including Directors Employed By Fundís 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
3
SEC Issues Risk Alert On Investment Advisersí Due Diligence Processes For Selecting Alternative Investments
On January 28, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued a National Exam Program Risk Alert resulting from its review of advisersí due diligence processes for selecting alternative investments.
United States
3 Mar 2014
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