REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the “CFTC”) (collectively with Investment Advisers, “Managers”).[1]  Due to the length of this Alert, we have linked the topics to the Table of Contents and other subtitles for easy click-access. This summary consists of the following segments: (i) List of Annual Compliance Deadlines; (ii) New Developments; (iii) 2018 National Exam Program Examination Priorities; (iv) Continuing Compliance Areas; and (v) Securities and Other Forms Filings. READ MORE . . . Read this article and additional Pillsbury publications at…

Read more detail on Recent Banking and Finance Law posts –

Legal notice about the REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW rubric : Hukuki Net Legal News is not responsible for the privacy statements or other content from Web sites outside of the Hukuki.net site. Please refer the progenitor link to check the legal entity of this resource hereinabove.

Do you need High Quality Legal documents or forms related to REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW?

This entry was posted in Banking and Finance law and tagged , , , , , , . Bookmark the permalink.

Leave a Reply