Jeffrey D. Collins

Jeffrey D. Collins

Foley Hoag LLP

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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 (the “Performance Fee Rule”) under the...more

7/8/2016 - Advisory Contracts High Net-Worth Investment Adviser Investment Advisers Act of 1940 Performance Fee Rule Private Funds Qualified Client SEC

SEC Issues Notice of Intent to Increase Performance Fee Thresholds

On May 24, 2016, the Securities and Exchange Commission published in the Federal Register a notice of the Commission’s intent to issue an order (the “Proposed Order”) amending SEC Rule 205-3 (the “Performance Fee Rule”) under...more

5/26/2016 - Federal Register Fund Managers Investment Adviser Investment Advisers Act of 1940 Performance Fee Rule Private Funds Proposed Amendments SEC

FinCEN Proposed AML Rule For Investment Advisers

The Financial Crimes Enforcement Network (“FinCEN”), a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange...more

9/11/2015 - Anti-Money Laundering Bank Secrecy Act CIP Comment Period Currency Transaction Reports (CTR) Financial Institutions FinCEN Internal Controls Investment Adviser Policies and Procedures Proposed Regulation Recordkeeping Requirements Reporting Requirements SEC Suspicious Activity Reports Training

SEC Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Reporting Persons Have No...

Under Rule 204A-1 of the Investment Advisers Act of 1940, a registered investment adviser’s written code of ethics must include requirements for reporting of personal securities holdings and trading activity by the adviser’s...more

7/1/2015 - Corporate Officers Ethics Investment Adviser Investment Advisers Act of 1940 Non-Public Information SEC

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

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

1/19/2015 - CPOs Filing Requirements Financial Statements Form ADV Form PF Investment Adviser 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

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

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

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