Professional Services

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

  June 10, 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

• 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