SEC Announces Upcoming Plans to Implement New Registration, Reporting, and Recordkeeping Requirements for Investment Advisers
September 27, 2010
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Core Compliance
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) includes significant changes to the registration and reporting requirements under the Investment Advisers Act of 1940 (the “Advisers Act”), including requiring many advisers to private funds to register … Read More
NSCP Currents – The Private Fund Investment Advisers Registration Act of 2009
July 1, 2009
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Core Compliance
Jul/Aug. 2009
Alternative Adviser Registration Options
June 1, 2009
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Michelle Jacko
June 2009
Investment Adviser State Registration and De Minimus Exemption
April 1, 2009
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Michelle Jacko
April 2009
Bank Advisor Magazine – The Effects of Regulation S-P on Your Business
July 1, 2008
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Core Compliance
Jul/Aug. 2008
NSCP Currents – Balancing the Roles of CCO and Legal Counsel
January 1, 2005
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Core Compliance
Jan/Feb. 2005