Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) or with a state, as well as commodity pool operators and commodity trading advisors registered with the U.S. Commodity Futures Trading...more
2/11/2020
/ CFTC ,
Chief Compliance Officers ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPO ,
Filing Deadlines ,
Filing Requirements ,
Investment Adviser ,
Private Investment Funds ,
Required Forms ,
Securities and Exchange Commission (SEC)
On June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted three to one to approve a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with...more
9/13/2019
/ Best Interest Standard ,
Books & Records ,
Broker-Dealer ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Duty of Loyalty ,
Fiduciary Duty ,
Filing Requirements ,
Form CRS ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Recordkeeping Requirements ,
Regulation BI ,
Securities Transactions