Investment Advisers-
Annual Compliance Reviews -
All investment advisers registered with the Securities and Exchange Commission ("SEC") or The Commonwealth of Massachusetts are required to review their compliance...more
Investment Advisers -
Annual Compliance Reviews -
All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their compliance...more
2/3/2017
/ Bad Actors ,
CFTC ,
Commodity Pool ,
Confidentiality Policies ,
Cybersecurity ,
Data Privacy ,
Exempt Reporting Advisers (ERAs) ,
FATCA ,
FBAR ,
Financial Statements ,
Form 13F ,
Form ADV ,
Form PF ,
Form PQR ,
Investment Adviser ,
Pay-To-Play ,
Privacy Policy ,
Rule 506 ,
Securities and Exchange Commission (SEC)
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