Meredith Haviland

Meredith Haviland

Foley Hoag LLP

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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”) or The Commonwealth of Massachusetts are required to review their...more

1/23/2016 - AIFMD CFTC Commodities Confidentiality Agreements CPOs EU FATCA Financial Statements FINRA Form ADV Form PF Hedge Funds NFA Pay-To-Play Popular Privacy Policy Registered Investment Advisors SEC 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

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