When: Pre-recorded webinar – Nov 19th, 2013 Where: On-site Compliance Policies & Procedures: Samples and Tips to Establish and Maintain a Manageable Process It’s one
As a result of the rescission of Rule 4.13(a)(4) for commodity pool operators (CPOs) advising funds offered to qualified eligible persons and the narrowing of
On September 23, 2013, SEC regulations adopted on July 10, 2013 to implement Section 201(a) of the JOBS Act will be effective. We are not
When: November 12-14th, 2013 Where: Crowne Plaza Paris République, Paris Linda Smith, Managing Director of SEC3, will speak on AIFMD issues related to marketing of
When: October 15th and 16th, 2013 Where: The Princeton Club, New York, NY Janaya Moscony, President of SEC Compliance Consultants, Inc, will moderate a panel
On the infamous day in July when the SEC loosened the reins on general solicitation and proposed related new rules and rule amendments, the SEC
On July 19th, the SEC announced the establishment of supervisory cooperation arrangements (memoranda of understanding) with European regulators related to the asset management industry. While
The Securities and Exchange Commission (“SEC”) voted yesterday to eliminate the ban on general solicitation and advertising for offerings conducted under Rule 506 of Regulation
The Securities and Exchange Commission (“SEC”) issued a cease-and-desist order against Northern Lights Compliance Services, LLC (“Northern Lights”), Gemini Fund Services, LLC (“Gemini”) and the
Quarterly Form NFA-PQR for registered CPOs The first Form NFA-PQR for newly-registered CPOs whose registration became effective on January 1, 2013 is due sixty days
