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Waldstein Law | Financial Services Regulation and Compliance
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WELCOME TO WALDSTEIN LAW

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