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 ,
Cybersecurity ,
Data Protection Acts ,
Deadlines ,
Eligibility ,
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
The 2021 FINRA Entitlement Certification period for broker-dealers, funding portals, investment advisers and US-based regulators that participate in the FINRA Entitlement program commenced on April 19, 2021 and ends on July...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
2/12/2021
/ BEA ,
Broker-Dealer ,
California Consumer Privacy Act (CCPA) ,
Cayman Islands ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
Data Protection ,
EU ,
Exempt Reporting Advisers (ERAs) ,
FATCA ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
General Data Protection Regulation (GDPR) ,
Investment Adviser ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
On February 21, 2013, the US Securities and Exchange Commission (the “SEC”) released its examination priorities for 2013. The priorities were published by National Examination Program (“NEP”), a program administered through...more