Form PF

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 ...

The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

The questions concerning the CFTC’s Forms CPO-PQR and CTA-PR number in the many. The agency’s Division of Swap Dealer and Intermediary Oversight Nov. 5 published ...

This report provides a summary of recent private fund industry statistics and trends, reflecting data collected through Form PF and Form ADV filings. Form PF ...

Could you pinpoint the dollar amount your firm currently expends on compliance? If not, you’re not alone. The second annual C-Suite Survey of financial services ...

During the past year, the Commission primarily used Form PF data in examinations of registered investment advisers to private funds. In addition, the Commission used ...

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 ...

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 ...

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 ...