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Fund of Funds: Regulation (26)
Your search for Fund of Funds: Regulation returned 26 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...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
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...
3/08/2017 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquir...
3/11/2014 | Content area: Private Fund
This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance ...
9/09/2013 | Content area: Private Fund
FINRA's anti-spinning rule (FINRA Rule 5131) would include a new, limited exception with regard to fund of funds, if a proposal the self-regulatory or...
1/21/2013 | Content area: Private Fund
Comb through the SEC's revised custody rule and you'll find many references that a private fund adviser can satisfy the requirement for a surprise exa...
12/11/2012 | Content area: CPO/CTA | Private Fund
A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other se...
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...
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,...
10/24/2011 | Content area: Private Fund
This week the Commission "will consider whether to adopt" its proposed Form PF rule that would require hedge and other private fund advisers to report...
5/17/2011 | Content area: Private Fund
This is a letter dated April 27, 2011 from SEC Chairman Mary Schapiro to an unidentified recipient. The letter mentions the likelihood of the Commissi...
5/02/2011 | Content area: Private Fund
You won't find among the SEC's new Form ADV FAQs (IA Watch, March 28, 2011) how to resolve the issue of an adviser who oversees multiple funds, includ...
7/31/2006 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
7/10/2006 | Content area: Investment Adviser
Alternative Investment Partners Absolute Return Fund STS: No-Action letter dated July 10, 2006 Investment Company...


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