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Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state.

United statesCayman islandsFederal reserve bankLarge private equity fund advisersExchange commissionNational futures associationMassachusetts securities divisionLarge hedge fund advisersKbr incFund adviserBranch officeUpdates to fund documetsInvestment companySecurities exchangePublic company accounting oversight boardMassachusetts securities division of the office

SEC Exam Priorities, Shortened Settlement Cycles, Form ADV Amendments and Hackers Impact Derivatives Market: Regulatory Update for March 2023 | ACA Group

As compliance professionals, we know that “March Madness” has a special meaning beyond the excitement of NCAA basketball. To help you through these upcoming weeks, check out this issue.

United statesJaquelinem hummelMike parzyDivision of examinationsDepartment of laborNational futures associationTrading commissionSecurities exchangeExchange commissionCustody ruleThought leadershipSecurities exchange actAct ruleFunding accountWish forCustody rule proposed

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators - January 2023 | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state.

United statesCayman islandsBureau of economic analysisOffice of compliance inspectionsFederal reserve bankDivision of examinationsInvestment companyNational futures associationInternational swapsEu alternative investment fund managers directiveTreasury international capitalEuropean unionKbr incPublic company accounting oversight boardForeign direct investmentBranch office

Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators (February 14, 2022) - Corporate/Commercial Law

Regardless of when the review takes place, registered advisers should be sure to document the review process and the outcomes of the review.

United statesCayman islandsForeign bankBureau of economic analysisEu council directive on administrativeOffice of compliance inspectionsFederal reserve bankInvestment companyEu alternative investment fund managers directiveInternational swapsTreasury international capitalEuropean unionKbr incPublic company accounting oversight boardBranch officeNational futures

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state.

United statesCayman islandsBureau of economic analysisOffice of compliance inspectionsFederal reserve bankInvestment companyNational futures associationInternational swapsEu alternative investment fund managers directiveTreasury international capitalEuropean unionKbr incPublic company accounting oversight boardBranch officeEu council directive on administrative cooperationDerivatives association standard documentation isdas

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