Financial Services Regulatory and Compliance Insight
Investment Company Act
Fund Registration and Prospectuses, Trust Filings, Financial Reporting, 15(c) Process Contract Process, 38a-1 Compliance Programs, Proxy Solicitations, Fund Mergers and Re-organizations
Investment Advisers Act
204(6)-7 Compliance Programs, 204A-1 Code of Ethics, Investment Restriction Monitoring, Best Execution, Section 28(e) Soft Dollar Compliance, Books and Records Requirements
TREASURY REGULATIONS
FINCen Reporting, AML Compliance Programs, Suspicious Activity Monitoring and Reporting, Counterparty Due Diligence, OFAC Screening, 314(a) Information Sharing Requests
FINRA
Regulatory Exams, Advertising Review, Written Supervisory Procedures, Trade Reporting
Commodity Exchange Act
Commodity Pool Operator Registration, CFTC Rules 4.21 and 4.22 Disclosures, Pool Quarterly Reports,
ERISA
DOL Fiduciary Rule, Prohibited Transactions
6832
Securities Laws
10
Regulatory Agencies
53
OPINIONS
1
INSIGHT
