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15 Jul 2015, 3:13 pm
Umbrella Registration Larger investment managers to private funds or other pooled vehicles are often comprised of many legal entities conducting a single advisory business. [read post]
6 Feb 2014, 7:53 am
Advisers who relied on an exemption or exclusion from CPO registration under CFTC Regulation 4.5, 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or an exemption from CTA registration under 4.14(a)(8) and filed a notice with the NFA must affirm the exemption or exclusion annually within 60 days after the end of the calendar year. [read post]
6 Apr 2009, 3:11 pm
REMOVAL OF THE PRIVATE ADVISOR EXEMPTION. [read post]
9 Sep 2020, 12:33 am
The trade mark, which featured the words ‘THE ROYAL BUTLER’, was refused trade mark registration on the basis of sections 3(5) and 4(1)(d) of the Trade Marks Act 1994 (TMA), which addresses specially protected emblems. [read post]
10 Apr 2012, 6:43 am
Under the proposed rule, in order for a private fund adviser to be exempt from registration, the private fund adviser has to satisfy a number of conditions: (1) neither the advisers nor their advisory affiliates are subject to "bad boy" disqualification provisions under Rule 262 of SEC Regulation A, (2) pursuant to SEC Rule 204-4, the private fund adviser files with the state each report and amendment that an exempt reporting adviser is required to file… [read post]
19 Jul 2011, 8:05 pm
Prior to the enactment of the Dodd-Frank Act, most private fund managers relied on the exemption from investment adviser registration contained in Section 203(b)(3) of the Investment Advisers Act, which exempted any adviser with under 15 clients from registration (the so-called “15 client exception. [read post]
19 Jul 2011, 8:05 pm
Prior to the enactment of the Dodd-Frank Act, most private fund managers relied on the exemption from investment adviser registration contained in Section 203(b)(3) of the Investment Advisers Act, which exempted any adviser with under 15 clients from registration (the so-called “15 client exception.”) [read post]
9 Jun 2011, 1:01 pm
If you’re a private fund manager you have been worried about the looming July 21 deadline for registration. [read post]
10 Jun 2021, 4:00 am
The Commissioner of Labor [Labor] is responsible for supervising these apprenticeship programs and has established and implemented procedures and standards for the approval and registration of such programs; 3. [read post]
10 Jun 2021, 4:00 am
The Commissioner of Labor [Labor] is responsible for supervising these apprenticeship programs and has established and implemented procedures and standards for the approval and registration of such programs; 3. [read post]
10 Jun 2021, 4:00 am
The Commissioner of Labor [Labor] is responsible for supervising these apprenticeship programs and has established and implemented procedures and standards for the approval and registration of such programs; 3. [read post]
10 Jun 2021, 4:00 am
The Commissioner of Labor [Labor] is responsible for supervising these apprenticeship programs and has established and implemented procedures and standards for the approval and registration of such programs; 3. [read post]
1 Mar 2022, 9:01 pm
About CPSThe Center for Produce Safety is a 501(c)(3) nonprofit organization. [read post]
16 Apr 2013, 9:36 am
But there are other ways to become entangled in broker dealer registration requirements that many private equity funds (and some hedge funds) will also need to consider. [read post]
6 Apr 2022, 11:22 pm
Registration 9.00 a.m. [read post]
1 May 2013, 12:58 pm
These are my notes from the Private Fund Compliance Forum 2013. [read post]
15 Jul 2017, 4:00 am
Friday, 2 March 2018 9.00 am Registration 9.30 am Welcome addresses: The Europeanisation of Private International Law Prof. [read post]
8 Jan 2018, 6:10 am
Advisers to SBICs can now rely on three exemptions from registration—(1) the SBIC adviser exemption and advise only SBICs; (2) the venture capital fund adviser exemption and advise both SBICs and venture capital funds; or (3) the private fund adviser exemption and advise both SBICs and non-SBIC private funds, provided that the non-SBIC private funds account for less than $150 million in assets under management in the U.S.Advisers that rely on the… [read post]
SEC Proposes Rules Relating to Investment Adviser Registration Exemptions and Reporting Requirements
16 Dec 2010, 8:55 am
If adopted as proposed, the "Exemptive Release" would define the scope of the registration exemptions available to advisers to venture capital funds, advisers to private funds with less than $150 million in assets under management in the United States, and foreign private advisers. [read post]
17 Jun 2010, 7:24 am
They also agreed to the house provision creating an exemption from SEC registration for private fund advisers with less than $150 million dollars in assets under management. [read post]
