Private fund managers are reminded that the Corporate Transparency Act (CTA) may trigger reporting obligations to the Department of the Treasury’s Financial Crimes Enforcement Network for private fund managers and the private...more
INVESTMENT ADVISERS -
Annual Compliance Reviews -
All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level are required to review their compliance policies and...more
2/2/2024
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Commodity Trading Advisors (CTAs) ,
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Investment Adviser ,
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Securities and Exchange Commission (SEC) ,
Securities Regulation
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 11, 2023 in order to cover such fees (with a recommendation from...more