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Searching Content indexed under Securities by Robert Sawyer ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
SEC Issues Cybersecurity Guidance Update For Investment Advisers
In summary, the Guidance Update notes the Division staff’s 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
11
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
12
Republican State Parties Challenge SEC’s 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
13
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
14
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
15
SEC Releases 2013 Examination Priorities
On February 21, 2013, the US Securities and Exchange Commission released its examination priorities for 2013.
United States
6 Mar 2013
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