Introduction -
Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals....more
10/12/2017
/ Bad Actors ,
Bureau of Economic Analysis ,
CFTC ,
Cryptocurrency ,
Custody Rule ,
Cybersecurity ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Electronic Communications ,
Employee Retirement Income Security Act (ERISA) ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Direct Investment ,
Form ADV ,
Fund Expenses ,
GAAP ,
General Data Protection Regulation (GDPR) ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Management ,
IRS ,
MiFID II ,
NFA ,
Pay-To-Play ,
Private Equity Funds ,
Private Funds ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Tax Audits
TIC Form SHC -
The Department of the Treasury is conducting its mandatory (every five years) survey of foreign securities ownership by U.S. residents as of December 31, 2016, on its Treasury International Capital System...more
Just one week after the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations issued a new risk alert on cybersecurity, the SEC brought an enforcement action against an investment adviser...more
The Securities and Exchange Commission (SEC) proposed a new round of changes to its check-the-box registration form for investment advisers, Part 1A of Form ADV (“ADV 1A”), and proposed some minor changes to its recordkeeping...more