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
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
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
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
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
