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Results:1-10 of 88

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
  • Dechert LLP
  • USA
  • January 24 2018

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose


Corporate Finance Alert: 2018 SEC Filing Deadlines for Companies With December 31, 2017 Fiscal Year End
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • November 17 2017

As the end of the year approaches, reporting companies should be aware of the various SEC filing deadlines for 2018. Companies also should be mindful


Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
  • Dechert LLP
  • USA
  • February 1 2017

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose


SEC denies adviser’s general request for confidential treatment of form 13F disclosures
  • Ropes & Gray LLP
  • USA
  • October 1 2014

On September 4, 2014, the SEC denied new requests made by Brooklyn Capital Management, LLC ("Brooklyn"), for confidential treatment of information


SEC releases new guidance on Form 13F confidential treatment requests
  • Ropes & Gray LLP
  • USA
  • July 21 2014

In an October IM Guidance Update, the Division provided additional guidance regarding requests for confidential treatment for information relating to


Challenges arise with new form 13F filing format
  • Dinsmore & Shohl LLP
  • USA
  • August 9 2013

Investment managers may be well served to file their upcoming Form 13F reports (due next Wednesday, August 14th) early this quarter. That is because


Form 13F filers
  • Winston & Strawn LLP
  • USA
  • April 8 2013

On March 29th, the SEC announced that beginning April 29, 2013, filers must file their Form 13F using the online form on the EDGAR Filing Website and


SEC petitioned for rulemaking to accelerate 13F filing deadline
  • Gibson Dunn & Crutcher LLP
  • USA
  • February 8 2013

Last week, the NYSE Euronext, the Society of Corporate Secretaries and Governance Professionals, and the National Investor Relations Institute


Compliance Checklists
  • Lowenstein Sandler LLP
  • USA
  • January 15 2013

Conduct periodic review of compliance policies; Providecollect new issues certifications from brokers regarding whether funds investors are


Investment adviser important dates and reminders
  • Foley Hoag LLP
  • USA
  • January 25 2012

All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least annually.