Investment Advisers & Private Funds

• New Cayman Islands Data Protection Law, 2017 Coming into Effect

  September 3, 2019

• SBA Announces New Fee on Leverage Draws and New Process for Leverage Approval Notices

  August 21, 2019

• SEC OCIE Risk Alert Update: Supervision of Disciplined Individuals

  August 19, 2019

• Form SHL: Report of Foreign Residents’ Holdings of U.S. Securities Due August 30, 2019

  August 14, 2019

• Investment Adviser Agrees to Pay $5 Million for Compliance Deficiencies in Valuing Client Assets

  June 10, 2019

• Minimizing Risk and Liability from Man-in-the-Middle Attacks (or, How to Keep Your Company’s Wire Transfers from Going Awry)

  May 2, 2019

• April 1, 2019: Effective Date of NFA Compliance Rule 2-9

  March 28, 2019

• CFTC 4.13(a)(3) Annual Affirmations Due March 1, 2019

  February 27, 2019

• Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators

  February 12, 2019

• Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 17

  December 3, 2018