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Final Private Fund Adviser Rules

On August 23, 2023, the Securities and Exchange Commission (the “SEC”) approved by a 3-2 vote a final rule enacting a series of wide-sweeping changes to the regulation of the private funds industry (the “Final Rule”). While...more

Reminder: FINRA Entitlement Certification Due by July 19, 2021

The 2021 FINRA Entitlement Certification period for broker-dealers, funding portals, investment advisers and US-based regulators that participate in the FINRA Entitlement program commenced on April 19, 2021 and ends on July...more

All Fund Managers Marketing in the European Union Must Take Note: First Deadline Under European Union Alternative Investment Fund...

The first compliance date under the European Union’s recently adopted Alternative Investment Fund Managers Directive (the “AIFMD”) is July 22, 2013....more

Extended Compliance Deadlines for Clearing of iTraxx CDS Indices

As a follow up to our earlier Foley Adviser, the compliance deadlines have been extended for mandatory clearing of European iTraxx credit default swap (CDS) indices. ...more

Important Dates and Reminders for Investment Management Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and...

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 annually (and best practice is...more

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