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Searching Content indexed under Fund Management/ REITs by Peter Rosenblum ordered by Published Date Descending.
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New Registration Requirements For Cayman Islands Master Funds
As the result of a recent amendment to the Cayman Islands Mutual Funds Law, master funds formed in the Cayman Islands may be required to register with the Cayman Islands Monetary Authority (CIMA).
Cayman Islands
9 Feb 2012
2
Investment Adviser Important Dates And Reminders - January, 2012
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
30 Jan 2012
3
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
4
July, 21, 2010: Dodd-Frank Act Signed into Law & SEC Commissioners Approve Amendments to Form ADV, Part 2
Earlier today, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act").
United States
22 Jul 2010
5
SEC Adopts New Short Selling Rule
On February 23, 2009, the Securities and Exchange Commission (the "SEC") adopted a new short selling rule which places restrictions on the short selling of securities which experience a price decline of 10% or more in one day.
United States
2 Mar 2010
6
The President Proposes Broad Reform Of The Financial Regulatory System
On June 17, 2009, President Barack Obama released a series of proposed initiatives entitled Financial Regulatory Reform: A New Foundation (the “White Paper”), which, if implemented, would effect sweeping reforms to the U.S. financial regulatory system.
United States
24 Jun 2009
7
SEC Proposes Amendments To Enhance Custody Rules For Investment Advisers
On May 14, 2009, the Securities and Exchange Commission ("SEC" or the "Commission") proposed rule amendments which are intended to substantially increase protections for investors who allow investment advisers to have custody over their assets.
United States
28 May 2009
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