Jennifer Macarchuk

Foley Hoag LLP

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Latest Publications


SEC to Recommend Additional Compliance Rules for Investment Advisers

David W. Grim, Director of the SEC’s Division of Investment Management (the “Division”), recently noted in testimony before a U.S. House of Representatives subcommittee that the Division is developing new rule recommendations...more

11/10/2015 - Compliance Derivatives Dodd-Frank Registered Investment Advisors SEC Third-Party

Bureau of Economic Analysis (BEA) Issues New Form BE-180 for U.S. Financial Services Providers Including Investment Advisers

Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers, should take note that the U.S. Bureau of Economic Analysis (the “BEA”) has...more

9/30/2015 - BE-180 BEA Benchmarks Civil Monetary Penalty Filing Deadlines Financial Institutions Form BE-10 Form BE-13 Investment Adviser Offshore Funds Reporting Requirements Surveys Time Extensions

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

CFTC Issues Exemptive Relief to Harmonize with JOBS Act Amendments to Regulation D and Rule 144A

The U.S. Commodity Futures Trading Commission (“CFTC”) issued an Exemptive Letter on September 8, 2014 (“Exemptive Letter”) providing that an issuer relying on Rule 506(c) of Regulation D and resellers relying on Rule 144A,...more

9/12/2014 - CFTC CPO Exemptive Orders General Solicitation JOBS Act Regulation D Rule 144A Rule 506(c)

SEC Issues Risk Alert on Cybersecurity Initiative for Investment Advisers

On April 15, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a Risk Alert regarding the SEC’s initiative to assess cybersecurity preparedness and...more

4/24/2014 - Cybersecurity Data Protection Enforcement Actions Investment Adviser SEC

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

SEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments

On January 28, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a National Exam Program Risk Alert (the “Risk Alert”) resulting from its review of...more

2/11/2014 - Due Diligence Investment Advisers Act of 1940 SEC

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