Comments for Compliance Avenue

Comment on Form PF and Investor Representations in Subscription Agreements by Form-pf

Form-pf — Thu, 03 May 2012 04:32:47 +0000

[...] folks at Hedge Op, have written an article elaborating on Question 16 of Section 1b – Investor Representations of Subscription [...]

Comment on SEC Division of Investment Management Staff Responds to Questions about Form ADV Part 2 by Investment Management

Investment Management — Thu, 29 Mar 2012 05:54:44 +0000

Investment Management…

Keep Sharing the Good Stuff related to Investment Management ….

Comment on The Long Arm of the Law – Implications of an SEC Examination to the Offshore Hedge Fund by Gucci Scarpe

Gucci Scarpe — Mon, 16 May 2011 12:52:42 +0000

There are some interesting points in time on this article but I don’t know if I see all of them heart to heart. There’s some validity but I’ll take hold opinion until I look into it further. Good article , thanks and we want extra! Added to FeedBurner as properly

Comment on SEC Supports Modified Timing on FASB-IASB Convergance by Dewitt Fowlar

Dewitt Fowlar — Wed, 03 Nov 2010 16:06:39 +0000

i cannot tell if i’m having trouble with my web connection, or my cell phone browser on your web-site, or what, but the top area of the page is offset to the right

Comment on Webinar Alert: The New ADV Part 2 – What You Need to Know by HedgeOp

HedgeOp — Wed, 06 Oct 2010 13:52:08 +0000

Clarification: You were probably thinking of Form ADV General Instruction 5 (Appendix A to the Adopting Release for the Form ADV Amendments), which says you may (but are not required to) use the new format before the date on which you will be required to do so

Comment on Webinar Alert: The New ADV Part 2 – What You Need to Know by HedgeOp

HedgeOp — Thu, 30 Sep 2010 22:33:22 +0000

actually John, the effective date is not until January, so you actually cannot yet use the new format.

Comment on Webinar Alert: The New ADV Part 2 – What You Need to Know by John Elden

John Elden — Fri, 17 Sep 2010 02:23:07 +0000

We have to make a substantive update to our Part II now. Can we utilize the new format? I thought I had read somewhere that registrants could now optionally use the revised ADV, but I cannot prove it.

Looking fwd to the seminar.

Comment on SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps by Tweets that mention SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps | Compliance Avenue -- Topsy.com

Mon, 16 Aug 2010 02:21:03 +0000

[...] This post was mentioned on Twitter by John Avery, HedgeOp Compliance. HedgeOp Compliance said: From the blog: SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps http://bit.ly/b9PWoC [...]

Comment on SEC Expects Massive Staff Increase Needed to Implement FinReg by Tweets that mention S.E.C. Expects Massive Staff Increase Needed to Implement FinReg | Compliance Avenue -- Topsy.com

Wed, 21 Jul 2010 14:38:47 +0000

[...] This post was mentioned on Twitter by Doug Cornelius, HedgeOp Compliance. HedgeOp Compliance said: From the blog: S.E.C. Expects Massive Staff Increase Needed to Implement FinReg http://bit.ly/arsLYb [...]

Comment on Watered-Down Volcker Rule Survives Final Financial Reform Bill; However, New Hedge Fund Tax Also Included by Drew Fullen

Drew Fullen — Thu, 01 Jul 2010 17:37:41 +0000

As the government continues to regulate the financial industry, it is important to know how these regulations affect endpoints and data stored on mobile devices. I found this post that outlines some of the key regulations that specifically address protecting data on endpoints.
http://links.maas360.com/financialCompliance1