Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is.
INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state.
The SEC adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The final rule amendments apply to large hedge fund advisers, private equity fund advisers, and large private equity fund advisers.
federalregister.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from federalregister.gov Daily Mail and Mail on Sunday newspapers.