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Fund of Funds (25)
Your search for Fund of Funds returned 25 results.
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5/09/2019 | Content area: Investment Adviser
Nothing like calling out a real-world example in an attempt to persuade SEC commissioners that a proposal needs to be revised.   More than one adviser...
4/30/2019 | Content area: Investment Adviser
This letter came from a 2019 OCIE exam of an IA.
3/08/2019 | Content area: Investment Adviser
You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a new one defining what registered f...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/19/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (“Investment Company Act” o...
10/26/2017 | Content area: Investment Adviser | Private Fund
    Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL...
11/06/2014 | Content area: Private Fund
Clearer lines have been drawn to help registered investment companies that are feeder funds or fund of funds understand when they can issue unconsolid...
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...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means o...
4/04/2014 | Content area: Investment Adviser | Private Fund
This is guidance released in 2014 by the Division of Investment Management having to do with an aggregate fee rate under a multi-manager structure.
12/10/2012 | Content area: CPO/CTA | Private Fund
With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have unti...
11/26/2012 | Content area: CPO/CTA | Private Fund
With a December 31st deadline bearing down to register as a commodity pool operator or commodity trading advisor and unanswered questions for fund of ...
10/12/2012 | Content area: Investment Adviser | Private Fund
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required...
8/13/2012 | Content area: CPO/CTA | Private Fund
One of the biggest questions emanating from the CFTC's elimination of a key exemption under its CPO and CTA rules relates to whether fund of funds man...
5/28/2012 | Content area: Private Fund
It's taken three years but the CFA Institute May 18th approved its guidance statement for alternative investment strategies and structures. Firms that...
1/30/2012 | Content area: Private Fund
That wind you hear may be the collective sigh of relief from advisers concerned this year's rush of registration for new advisers would force special ...
1/09/2012 | Content area: Private Fund
Dodd-Frank ordered that the value of a person's primary residence not be considered when determining if a person's net worth tops the $1 million thres...
10/31/2011 | Content area: Private Fund
The final Form PF rule that garnered an unanimous vote by the Commission last week will contain numerous changes from the original proposal (IA Watch,...
10/17/2011 | Content area: Private Fund
The SEC's Division of Investment Management assured Morgan Stanley last week that it wouldn't recommend enforcement action if its investment advisory ...
10/10/2011 | Content area: Private Fund
We told you in July that - effective Sept. 19th - the SEC had hiked the thresholds for when advisers can charge performance-based fees (IA Watch, July...


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