Category: Investment Advisers
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…
Broker Dealer | Fiduciary | Investment Advisers | State News
Massachusetts Securities Chief Finds Reg BI Lame and Creates Stricter Fiduciary Standards for Bay State Residents
The Massachusetts Securities Division (“MSD”) is moving ahead with its proposed uniform fiduciary standard of conduct for both broker-dealers and investment advisers (“MA Rule”, or “Fiduciary Conduct Standard”). Secretary of…