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
/ Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Commodities ,
Confidentiality Agreements ,
CPOs ,
EU ,
FATCA ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Statements ,
Form ADV ,
Form PF ,
Hedge Funds ,
NFA ,
Pay-To-Play ,
Popular ,
Privacy Policy ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Swaps
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