Investment Advisers -
Annual Compliance Reviews:
All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their...more
1/23/2016
/ Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Commodities ,
Confidentiality Agreements ,
CPOs ,
EU ,
FATCA ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Statements ,
Form ADV ,
Form PF ,
Hedge Funds ,
NFA ,
Pay-To-Play ,
Popular ,
Privacy Policy ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Swaps
On July 30, 2015, the European Securities and Markets Authority (ESMA) released its advice to the European Parliament, Council of the European Union and the European Commission on the application of the passport to non-EU...more
8/5/2015
/ AIF ,
AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
EU ,
EU Council of Ministers ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Hong Kong ,
Investor Protection ,
Investors ,
Marketing ,
Singapore ,
Switzerland
The HM Treasury has issued a Q&A in which it suggests upcoming changes to the timetable for implementing the Alternative Investment Fund Managers Directive (the “AIFMD”) in the United Kingdom. The HM Treasury is the UK...more
The first compliance date under the European Union’s recently adopted Alternative Investment Fund Managers Directive (the “AIFMD”) is July 22, 2013....more