Jeffrey D. Collins

Jeffrey D. Collins

Foley Hoag LLP

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SEC Issues No-Action Letter on the Definition of Knowledgeable Employee

On February 7, 2014 the staff of the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued a no-action letter to the Managed Funds Association (the “No-Action Letter”), providing...more

3/21/2014 - Actual or Constructive Knowledge Investment Company Act of 1940 No-Action Letters SEC

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Investment Advisers - Annual Compliance Reviews: All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least...more

1/28/2014 - Commodities CPO Deadlines Financial Adviser Form 13F Investment Adviser SEC

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 13

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by this Friday, December 13 in order to cover such fees. This deadline applies to the...more

12/11/2013 - Deadlines Filing Fees Investment Adviser Notice Requirements Renewal Fees

SEC Passes Final Rules Implementing JOBS Act Amendments to Regulation D

On July 10, 2013, the SEC voted 4-1 to approve final rules, which included the adoption of new subsection (c) to SEC Rule 506 of Regulation D under the Securities Act of 1933, permitting the use of general solicitation and...more

7/12/2013 - Accredited Investors Advertising CFTC General Solicitation JOBS Act Regulation D SEC

Swap Users Take Note: March 2013 DF Protocol Deadline is July 1, 2013

Investment advisers with clients (including funds or separate accounts) that use swaps are reminded to have such clients sign up to the ISDA March 2013 DF Protocol (the “March DF Protocol”) by July 1, 2013....more

6/25/2013 - CFTC Dodd-Frank Investment Adviser ISDA Major Swap Participants Swap Dealers Swaps

UK Treasury Plans to Extend AIFMD Transition Period for Non-UK Fund Managers

The HM Treasury has issued a Q&A in which it suggests upcoming changes to the timetable for implementing the Alternative Investment Fund Managers Directive (the “AIFMD”) in the United Kingdom. The HM Treasury is the UK...more

5/20/2013 - AIFM AIFMD EU Extensions Fund Managers

Reminder: Deadline for Form PF Annual Filers is April 30, 2013

As a reminder, smaller private fund advisers registered with the SEC and “large private equity fund advisers” with a fiscal year-end of December 31 must file their Form PF with the SEC by April 30, 2013....more

4/17/2013 - Form PF Private Equity Funds Private Funds SEC

All Fund Managers Marketing in the European Union Must Take Note: First Deadline Under European Union Alternative Investment Fund...

The first compliance date under the European Union’s recently adopted Alternative Investment Fund Managers Directive (the “AIFMD”) is July 22, 2013....more

4/9/2013 - AIFMD Compliance Disclosure Requirements EU Fund Managers

DF Protocol Deadline is May 1, 2013

Managers Who Use Swaps Should Act Now - Managers of funds and separately managed accounts that use swaps are reminded that they (or their clients) must complete the DF Protocol Adherence Letter and DF Protocol...more

4/3/2013 - DF-Protocol Dodd-Frank ISDA Required Documentation Swap Dealers Swaps

Reminder: Deadline for Obtaining CFTC Interim Compliance Identifier for Parties Trading in Swaps

On March 15, 2013, the Commodity Futures Trading Commission’s Division of Market Oversight and Office of Data and Technology issued an advisory, reminding all swap market participants of the imminent deadline to comply with...more

3/22/2013 - CFTC CICIs Disclosure Requirements Recordkeeping Requirements Swaps

Reminder: Form ADV Annual Amendment Due April 1

As a reminder, all SEC-registered advisers, state-registered advisers, SEC-exempt reporting advisers and state-exempt reporting advisers with a fiscal year ending December 31, 2012 must update and file their Form ADV by April...more

3/22/2013 - Form ADV SEC

Extended Compliance Deadlines for Clearing of iTraxx CDS Indices

As a follow up to our earlier Foley Adviser, the compliance deadlines have been extended for mandatory clearing of European iTraxx credit default swap (CDS) indices. ...more

3/8/2013 - Compliance Deadlines iTraxx CDS indices

Reminder: Upcoming Deadlines for Clearing Requirements for Certain Swaps

Investment managers who use swaps on behalf of their clients (including funds) are reminded that the phase-in for mandatory clearing of certain types of swaps has begun. Investment managers should be analyzing (a) the types...more

3/5/2013 - Commodity Pool Credit Default Swaps Deadlines Derivatives Clearing Organizations ERISA Interest Rate Swaps Investment Management Swaps

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more

2/25/2013 - CFTC Exemptions Fund Managers Investment Adviser NFA

Massachusetts Securities Division Sending Letters Requiring Documentation from MA Exempt Reporting Advisers

The Massachusetts Securities Division ("the Division") is currently sending letters to exempt reporting advisers in Massachusetts ("MA ERAs") who manage private funds which rely on the exclusion from the definition of...more

2/1/2013 - Annual Filings Exemptions Financial Statements Investment Adviser Investment Company Act of 1940 Private Investment Funds Required Documentation Securities

Important Dates and Reminders for Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and...

Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least annually (and best practice is...more

1/28/2013 - Compliance Financial Statements FINRA Hedge Funds Investment Adviser Privacy Policy Private Equity Funds

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....more

11/16/2012 - CFTC CPO Futures Swaps

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