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
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 compliance...more
2/3/2017
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CFTC ,
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FATCA ,
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Form PF ,
Form PQR ,
Investment Adviser ,
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Securities and Exchange Commission (SEC)
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 ,
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EU ,
FATCA ,
Financial Industry Regulatory Authority (FINRA) ,
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Form ADV ,
Form PF ,
Hedge Funds ,
NFA ,
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Popular ,
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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