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Searching Content indexed under Financial Services by Christopher Wells ordered by Published Date Descending.
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CFTC Adopts Additional Exemptions From Annual Privacy Notice Delivery Requirement
On April 19, 2019, the U.S. Commodity Futures Trading Commission (CFTC) approved a final rule revising the annual privacy notice delivery requirements applicable to CFTC registered commodity trading
United States
15 May 2019
2
A Practical Guide To The Regulation Of Hedge Fund Trading Activities
The trading activities of hedge funds raise a number of complex issues under the federal securities laws.
United States
16 Apr 2019
3
NFA Issues Guidance On Information Systems Security Programs And CPO Internal Controls Systems
The NFA has amended its existing guidance to its members on Information Systems Security Programs (ISSPs) ...
United States
14 Mar 2019
4
CFTC Proposes To Streamline CPO And CTA Regulations By Codifying Prior Relief
On October 9, 2018, the Commodity Futures Trading Commission (CFTC) proposed new rules in connection with the CFTC's Project KISS Initiative directed at simplifying Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) regulations.
United States
24 Oct 2018
5
New California Law Requires Increased Private Fund Fee And Expense Disclosure
Recent state legislative developments in California will require disclosure of certain information by private investment fund managers, primarily in the area of fees and expenses incurred by state and local pension and retirement plans.
United States
29 Sep 2016
6
SEC Adopts Higher Net Worth Threshold For Qualified Clients Under The Advisers Act
In an order dated June 14, 2016, the SEC adopted its prior proposal to increase the net worth threshold for "qualified clients" under Rule 205-3 of the Investment Advisers Act of 1940 (the Advisers Act) from $2 million to $2.1 million.
United States
22 Jun 2016
7
Pay-To-Play Rule: SEC Announces Compliance Date For Ban On Third-Party Solicitation Of Government Entities
The SEC must find, by order, that such FINRA and MSRB rules impose substantially equivalent or more stringent restrictions than the Pay-to-Play Rule and are consistent with its objectives.
United States
20 Jul 2015
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