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Searching Content indexed under Compliance by Jeffrey Collins ordered by Published Date Descending.
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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
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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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