Investors have easy access to critical information about individuals who work for money management, financial planning and other investment advisory firms through an enhanced Investment Adviser Public Disclosure (IAPD) website launched on Wednesday. The site, adviserinfo.sec.gov, is available to the public at no cost.
GARDINER - Maine Securities Administrator Judith Shaw announced on Tuesday that a new service of the Investment Adviser Public Disclosure website will allow investors to electronically access information about individuals who work for money management, financial planning and other investment advisory firms. Shaw said the service will enable Maine investors to access information on more than 220,000 individual investment professionals nationwide, including background information such as customer complaints, criminal or regulatory disclosures, professional qualifications and employment history.
Non-Enforcement Matters . New Investment Adviser Rules . On June 22, 2011, the SEC adopted ... months, (b) did not hold itself out to the public as an investment adviser, and (c) did not act as a... on the Investment Adviser Public Disclosure (IAPD) Web site at http://tinyurl.com/3b7dnyn. . W...
Non-Enforcement Matters. New Investment Adviser Rules. On June 22, 2011, the SEC adopted... months, (b) did not hold itself out to the public as an investment adviser, and (c) did not act as a... on the Investment Adviser Public Disclosure (IAPD) Web site at http://tinyurl.com/3b7dnyn. W...
... Introduction. As the investment adviser community is well aware, one of the key pr... grapple with the question of how much disclosure to include in their Form ADV brochure. For example... filed by advisers will be available to the public through the SEC's Investment Adviser Public Disclo...
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``we'' or the ``Commissions'') are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (``CPOs'') and commodity trading advisors (``CTAs'') registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such require...
... B. Significant Issues Raised by Public Comment. C. Small Entities Subject to the Rule... strategy, and adding additional disclosure requirements necessary to protect investors and pr...
...-December 2011 time period relating to disclosure by institutional investment managers of votes on e... and factors affecting compensation adviser independence and disclosure rules concerning compe..., a reverse merger company exists when a public shell company merges with a private operating comp...
State Auditor Glen Gainer, in his role as state securities commissioner, is preparing to take over the regulation of 20 additional investment advisers from federal agencies this summer. The switch in regulation is designed to intensify oversight of the firms. The change was included in the Dodd-Frank financial reform law passed by Congress last year. It says investment advisers with less than $100 million of assets under management will be regulated by the states. Gainer's office notified the affected advisers by letter in October.
... accessed online at the Investment Adviser Public Disclosure site, a cooperative product of the U.S....
... change to allow cross-sub-fund investments has long been awaited by the Luxembourg fund indus... Rules to Implement Dodd-Frank Investment Adviser Registration and Oversight Provisions Affecting U.... and does not hold itself out to the public as an investment adviser, provided that the advise... the SEC's Investment Adviser Public Disclosure website. Notably, the proposed rules do not requir...
In recent years there has been dramatic growth in the hedge fund industry, accompanied by an equally sizable increase in the public notoriety of such funds. Hedge funds currently control a substantial portion of trading in many financial markets and are subject to less federal regulation than nearly any other type of financial entity or institution. The US Securities and Exchange commission (SEC) recently made cases involving insider trading within hedge funds a priority, a change that can be attributed to the perception that there is widespread insider trading in these funds. This note illustrates why the structure of hedge funds makes them prone to instances of insider trading and why the SEC struggles to deal with this problem. Hedge funds are structured to avoid tax consequences and...
... cases involving hedge funds and their advisers. Part VII concludes by explaining what action the ...: a business that is not an investment company, holding a wide range of securities and ot... with the SEC and make continuous disclosure statements.45 Hedge funds, however, take advantage...
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