Investment Management Archives

September 26, 2016

Seward & Kissel 2015/2016 Hedge Fund Side Letter Study

September 24, 2016

Compliance Support Services

September 7, 2016

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

September 2, 2016

Investment Adviser Settles Charges for Failing to Disclose a Material Side Letter Agreement in Application for Exemptive Relief

August 2, 2016

Subscription Agreements and Other Documents Must be Updated to Reflect Increased Net Worth Threshold for “Qualified Clients”

July 18, 2016

Shareholder Activism Bullet Report – July 2016

July 15, 2016

SEC Issues Updated Guidance on Business Continuity Planning for Registered Investment Companies

July 15, 2016

SEC Proposes Written Business Continuity and Transition Plan Requirement for Registered Investment Advisers

July 11, 2016

NFA Imposes $200 Daily Late Fee For Form PQR and PR Filings

June 22, 2016

SEC Approves Increased Net Worth Threshold for “Qualified Clients”

June 20, 2016

SEC Sanctions Investment Adviser for Failing to Establish and Maintain Policies and Procedures to Prevent the Misuse of Material Nonpublic Information

Archive

September 26, 2016

Seward & Kissel 2015/2016 Hedge Fund Side Letter Study

September 24, 2016

Compliance Support Services

September 7, 2016

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

September 2, 2016

Investment Adviser Settles Charges for Failing to Disclose a Material Side Letter Agreement in Application for Exemptive Relief

August 2, 2016

Subscription Agreements and Other Documents Must be Updated to Reflect Increased Net Worth Threshold for “Qualified Clients”

July 18, 2016

Shareholder Activism Bullet Report – July 2016

July 15, 2016

SEC Issues Updated Guidance on Business Continuity Planning for Registered Investment Companies

July 15, 2016

SEC Proposes Written Business Continuity and Transition Plan Requirement for Registered Investment Advisers

July 11, 2016

NFA Imposes $200 Daily Late Fee For Form PQR and PR Filings

June 22, 2016

SEC Approves Increased Net Worth Threshold for “Qualified Clients”

June 20, 2016

SEC Sanctions Investment Adviser for Failing to Establish and Maintain Policies and Procedures to Prevent the Misuse of Material Nonpublic Information

June 8, 2016

SEC Announces Intent to Increase Net Worth Threshold for “Qualified Clients”

June 3, 2016

FBAR Filing Due June 30, 2016

May 27, 2016

The New Fiduciary Rule’s Effect on Investment Managers

May 23, 2016

FinCEN Issues Final Customer Due Diligence Rules