Category: CFTC Regulation
CFTC Regulation | Compliance Programs | Investment Advisers | Investment Advisers Act | Investment Company Act | Mutual Funds | Private Investment Funds | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2020
Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO…
CFTC Regulation
CFTC catches up with SEC Rule allowing General Solicitation
October 9, 2014 By: Denise Alfieri, Senior Compliance Consultant On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued an…