MFA Comment Letters

Topic: advisers

MFA Letter to SEC on August 2007 New York Regional Office Examination Request Letter12.20.07


MFA submits comments to the SEC on the August 2007 New York Regional Office Examination Request Letter.

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Topics: August 2007 New York Regional Office Examination Request Letter Office of Compliance Inspections and Examinations (OCIE), New York Regional Office, Chief Compliance Officers, registered investment advisers, periodic examinations, Pilot program, compliance, Federal Securities Laws, regulations, Investor Protection, hedge fund advisers, advisers, legal risk, examination process, pre-examination letters operational resources, registrants, risks, risk-based approach, Lori A. Richards, Director of SEC's Office of Compliance and Inspections and Examinations, CCOutreach National Seminar, National society of compliance Professionals National Membership Meeting, surveillance, complianceAlert, Ninth Annual IA Compliance Best Pracitces SUmmit 2007, CCO Seminars or Roundtables, chief compliance officer seminars and roundtables, focus group, reqests II(D)(1), public company affiliation, relative, corporate insiders, request V(G)(1), Request II(J)(1), bankruptcy workout, Request II(G)(1), II(H)(1), IIIJ(1), III(M)(1), III(M)(3), III(N)(1), III(N)(2), conflicts of interest, sales coverage, adviser, broker-dealer, operations, technology, I(G), II(A)(2), II(A)(3), and VI(B)(1), Microsoft Excel spreadsheets, data mining, medium, standardized presentations, V(E)(2), V(E)(3), VIII(G), IX(F)(2)m X(I)(2), written complaint, shareholder communications, public pension funds, candidates, Request II(A)(1), attorney-client privilege, potential transactions, arrangements, Request II(B)(3), portfolio allocation, consistency, Request II(D)(3)(e), Request IV(A)(1)m block trades, Request V(A)(4), Code of Ethics, public, Form ADV Part II, Securities and Exchange Commission, SEC,

MFA Comment Letter to Canadian Securities Administrators on Registration Reform06.29.07


MFA submits comments and attachment to the Canadian Securities Administrators on Canadian registration reform.

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Topics: British Columbia Securities Commission Alberta Securities Commission, Saskatchewan Financial Services Commission, Manitoba Securities Commission, Ontario Securities Commission, Autorite des Marches Financiers, New Brunswick Securities Commission, Register of Securities Prince Edward Island, Nova Scotia Securities Commission, Superintendent of Securities Newfoundland and Labrador, Register of Securities Northwest Territories, Register of Securities Yukon Territory, Register of Securities Nunavut, Proposed National Instrument 31-103, registration requirements, global alternative investment industry, hedge funds, fund of funds, managed futures funds, policymakers, absolute return strategies, hedge fund industry, regulatory authorities, educational outreach, alternative investment history, Commodity Futures Trading Commission, CFTC, Federal Reserve Board, Department of the Treasury, Canadian Securities Administrators', CSA, global financial marketplace, President's Working Group on Financial Markets, PWG, private pools of capital, capital markets, financial markets, liquidity, price efficiency, risk distribution, alternative investment opportunities, capital, funds, Canada, (NI31-103), alternative investment vehicles, regulation, privately offered fund, professional investment management for hedge fund managers, defined term, U.S. federal securities laws, investment company, venture capital, private equity, leveraged buyout, oil and gas, real estate funds, hedging, distressed, financing, large activist posistions, risk-adjusted performance, private equity funds, assets under management, AUM, Non-Canadian Hedge Fund Securities, capital raising, retirement plans, pension plans, exposure, international capital markets, National instrument 45-106, Prospects and Registration Exemptions, Labrador, non-resident dealers, limited market dealers, dealer registration requirements, Non-Ontario Regime, securities, Regulatory Authority, offering memorandum, offering document, Ontario Regime, prospectus exemption, disclosure obligations, dealer registration exemption, market intermediaries, flow-through analysis, adviser registration, commodity futures, non-resident exemptions, Commodity futures act, Administrative Costs, Fraud, international portfolio manager, international investment fund manager, advisers, fund units, Ontario registered dealer, registered broker-dealer, broker-dealer, exempt market trades, accredited investors, sophisticated investors, fund-of-funds, financial institutions, hedge fund consultant, private placement, White Paper, financial eligibility, standards, pooled investment products, investment sophistication, natural persons, net worth threshold, annual income threshold, private investment vehicles, accredited natural person, income tests for inflation, grandfather provision, dealer registrayion exemption, offshore investment vehicles, United Kingdom, European Union, EU, well-developed capital markets, regulatory regimes,
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