Article
29 Sep 2025
December 3, 2025 Deadline Approaching For Large Registered Investment Advisers To Comply With Amendments To Regulation S-P
AUTHORS CONTENT
Article
19 Jun 2025
SEC Extends Compliance Date For Form PF Amendments To October 1, 2025
Article
21 Apr 2025
Revised Reporting Of Investors On Form PF – Action Needed With Compliance Date Of June 12, 2025 Around The Corner
Article
18 Feb 2025
SEC Announces One Year Delay In Filing Obligations Under Rule 13f-2 And Corresponding Form SHO
Article
25 Nov 2024
CFTC Adopts Amendments To Rule 4.7
Article
24 Oct 2024
SEC Short Sale Disclosure Rules & Upcoming Compliance Date
Article
24 Jul 2024
Fund Managers Must Assess Whether Microsoft /CrowdStrike Outage Has Triggered Additional Form PF Filing
Article
11 Jan 2021
DOL Issues Final Rule On Proxy Voting By ERISA Plans
Article
02 Dec 2020
DOL Final Rule Continues To Discourage ESG Investments By ERISA Plans
Article
17 Aug 2020
DOL Reinstates Five-Part-Test For Investment Advice Fiduciaries And Proposes New Exemption
Article
18 Jul 2020
DOL Proposed Rule Further Discourages ESG Investments By ERISA Plans
Article
27 Feb 2018
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 2018
Article
13 Jul 2016
SEC Increases Performance Fee Thresholds
Article
01 Jun 2016
SEC Issues Notice Of Intent To Increase Performance Fee Thresholds
Article
17 Feb 2016
CFTC 4.13(a)(3) Annual Affirmations Due February 29
Article
05 Jan 2016
ERISA Fiduciaries May Factor Climate Change Issues Into Economic Analysis Of Investments
Article
16 Nov 2015
SEC To Recommend Additional Compliance Rules For Investment Advisers
Article
17 Sep 2015
FinCEN Proposed AML Rule For Investment Advisers
Article
27 Aug 2015
Bureau Of Economic Analysis (BEA) Form BE-10 August 31, 2015 Deadline Approaching
Article
07 Aug 2015
AIFMD: ESMA Recommends The First Wave Of Non-EU Countries To Obtain A Europe-Wide Marketing Passport