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

Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 18

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 18 in order to cover such fees. This deadline applies to the following...more

12/11/2015 - Filing Fees Investment Adviser Registered Investment Advisors Renewal Fees 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

SEC Releases 2013 Examination Priorities

On February 21, 2013, the US Securities and Exchange Commission (the “SEC”) released its examination priorities for 2013. The priorities were published by National Examination Program (“NEP”), a program administered through...more

3/1/2013 - Broker-Dealer Investment Adviser NEP Pay-To-Play Prioritized Examination SEC

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