The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
3/27/2015
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CFTC ,
Compliance ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Deadlines ,
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Form 13F ,
Form ADV ,
Investment Adviser ,
Investment Funds ,
NFA ,
Private Funds ,
Reporting Requirements ,
Schedule 13D ,
Securities Dealers
U.S. SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert on Alternative Investment Due Diligence Practices -
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and...more