The Commodity Futures Trading Commission (CFTC) recently adopted a final rule amending CFTC Rule 4.7. CFTC Rule 4.7 provides an exemption from certain disclosure, recordkeeping and reporting requirements for registered...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
/ Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Exemptions ,
Filing Deadlines ,
Filing Requirements ,
Investment Adviser ,
Investment Companies ,
Investment Management ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
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
2/14/2022
/ Annual Filings ,
Broker-Dealer ,
California Consumer Privacy Act (CCPA) ,
Cayman Islands ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
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Exempt Reporting Advisers (ERAs) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Statements ,
Form 13F ,
Form 13H ,
Form ADV ,
Form PF ,
Form PQR ,
General Data Protection Regulation (GDPR) ,
IARD ,
Investment Adviser ,
Multi-Factor Authentication ,
Privacy Policy ,
Rule 506 ,
Securities and Exchange Commission (SEC) ,
Security Audits