Professional Services

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

  December 3, 2018

• OCIE Issues Risk Alert on Compliance Deficiencies Relating to the Cash Solicitation Rule

  November 8, 2018

• Impacts of New CFIUS Pilot Program on Investment Funds

  November 7, 2018

• Mandatory Filings for Foreign Investments in U.S. Required by New CFIUS Pilot Program

  October 30, 2018

• SEC Brings First Enforcement Action for Identity Theft Red Flags Rule Violations

  October 15, 2018

• FBAR Filing Deadline: October 15, 2018

  September 25, 2018

• Cayman AML Officers – Further Clarification from CIMA Regarding Deadlines

  September 25, 2018

• Cayman AML Officer Appointment Deadline Extended for Existing Funds to December 31, 2018

  September 24, 2018

• Reminder: Appointment of AML Officers for Cayman Funds Due by September 30, 2018

  August 9, 2018

• SEC Fines Delinquent Form PF Filers $75,000

  June 7, 2018