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Investment Adviser Exemptions Fund Managers

Proposed FinCen Anti-Money Laundering Rules: Implications for Life Settlement Investment Fund Managers

by Locke Lord LLP on

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Treasury Department, issued for public comment proposed rules requiring investment advisers registered with the Securities and...more

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

by Foley Hoag LLP on

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

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