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Form PF (37)
Your search for Form PF returned 37 results.
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4/19/2018 | Content area: Investment Adviser
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
6/16/2016 | Content area: Investment Adviser
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements...
4/20/2016 | Content area: Investment Adviser | Private Fund
There aren’t many of you (the SEC estimates 28) but some investment advisers that advise at least one liquidity fund and manage at least $1 billion in...
3/10/2016 | Content area: Investment Adviser | Private Fund
The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas fo...
10/16/2015 | Content area: Investment Adviser | Private Fund
This report provides a summary of recent private fund industry statistics and trends, reflecting data collected through Form PF and Form ADV filings. ...
6/10/2015 | Content area: Investment Adviser | Broker-Dealer
She states that the "next challenge is to bring to life additional coding schema that will enable a new depth of data aggregation. The development and...
2/12/2015 | Content area: Investment Adviser | Private Fund
Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them what were the h...
1/22/2015 | Content area: Investment Adviser | Private Fund
Depending on the size of the private fund marketed into the European Union, this could be the week for your firm to have to file its first Annex IV re...
12/11/2014 | Content area: Investment Adviser | Private Fund
Should you decide to “exclude disregarded private funds” under Instruction 7 of Form PF, you would not include the funds’ assets when reporting your r...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Reporting by investment advisers to private funds on Form PF. If you are an investment adviser registered or required to be registered under secti...
9/11/2014 | Content area: Investment Adviser | Private Fund
Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.
8/15/2014 | Content area: Investment Adviser
The Commission is required to submit an annual report to Congress regarding how the Commission has used the data collected regarding private funds und...
7/24/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the final rule passed by the SEC in 2014 that brings reforms like a floating NAV and the imposition of fees and gates during times of stress t...
3/10/2014 | Content area: Investment Adviser | Private Fund
The year's underway and the work's pouring in. What's your secret to getting it all done?For many of your peers the solution comes down to use of an e...
2/17/2014 | Content area: Investment Adviser | Private Fund
Just in time, as many large hedge fund advisers are getting ready to file their latest quarterly Form PF by the end of the month, the SEC has released...
2/12/2014 | Content area: Investment Adviser | Private Fund
This page was updated in 2015. To see the SEC's actual site, which may contained more updated FAQs, visit http://www.sec.gov/divisions/investment/pfrd...
2/10/2014 | Content area: Investment Adviser | Private Fund
Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and r...
8/19/2013 | Content area: Investment Adviser
If you need to update your firm's Form ADV only to generate a new private fund ID for Form PF, you can limit the other-than-annual amendment to that t...
8/12/2013 | Content area: Investment Adviser | Broker-Dealer | Private Fund
Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with ...
8/05/2013 | Content area: Investment Adviser
Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with ...


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