Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
CUSTODY NO-ACTION LETTERS
3/12/2019 | Content area: Investment Adviser
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody...
12/20/2018 | Content area: Investment Adviser | Private Fund
Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Ac...
2/21/2017 | Content area: Investment Adviser
An investment adviser with power to dispose of client funds or securities for any purpose other than authorized trading has access to the client’s ass...
10/04/2016 | Content area: Investment Adviser
Absent adoption by the Public Company Accounting Oversight Board (“PCAOB”) of a permanent program for the inspection of broker and dealer auditors, th...
9/12/2016 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission under Section 17(f)(1) of the 1940 Act against a Fund if the Fund places and maintains cus...
6/20/2016 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission against a Fidelity Entity if that Fidelity Entity continues to fulfill its regulatory requ...
4/25/2016 | Content area: Investment Adviser
The Division of Investment Management would not recommend enforcement action to the Commission under Section 206(4) of, and Rule 206(4)-2 under, the A...
3/23/2015 | Content area: Investment Adviser | Private Fund
This no-action letter from the SEC in 2015 relieves an investment adviser of certain requirements under the custody rule.
12/19/2014 | Content area: Investment Adviser
    -->LCH.Clearnet Limited and LCH.Clearnet LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVI...
12/19/2014 | Content area: Investment Adviser
    -->ICE Clear Credit LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MA...
12/19/2014 | Content area: Investment Adviser
    -->Chicago Mercantile Exchange December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVEST...
2/11/2014 | Content area: Investment Adviser
    Investment Company Act of 1940 — Section 17(f)(1) and Section 26(a) The Brink's Company February 11, 2014 ...
12/26/2013 | Content area: Investment Adviser
      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC December 26, 2013 ...
11/05/2013 | Content area: Investment Adviser
    Investment Company Act of 1940 - Section 206(4) and Rule 206(4)-2 Robert Van Grover, Esq., Seward & Kissel LLP ...
7/10/2013 | Content area: Investment Adviser
    Investment Advisers Act of 1940 — Section 17(f) Chicago Mercantile Exchange July 10, 2013 RESPONSE OF THE OFFI...
9/05/2012 | Content area: Investment Adviser
    Investment Company Act of 1940 Investment Company Institute Your letter dated August 31, 2012 requests ou...
7/21/2011 | Content area: Investment Adviser
10/12/2010 | Content area: Investment Adviser
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