MFA Comment Letters

Topic: Code of Ethics

MFA Petitions the CFTC to Exclude Certain Employee Pools from the Definition of “Pool”08.30.12


MFA petitioned the CFTC to provide an exclusion from the definition of commodity “pool” for certain internally owned entities, including […]

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 Submits Comments to IOSCO on Consultation Report on Hedge Funds Offered to Retail Investors05.31.06


MFA Submits Comments to IOSCO’s “Regulatory Environment for Hedge Funds” survey

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Topics: Consultation Report on Hedge Funds Offered to Retail Investors hedge funds, The Regulatory Environment for Hedge Funds, hedge fund industry, alternative investment industry, fund of funds, managed futures funds, Securities and Exchange Commission, SEC, Commodity Futures Trading Commission, CFTC, Federal Reserve System, Department of the Treasury, United States Congress, MFA's Sound Practices for Hedge Fund Managers, MFA's 2005 Sound Practices, dealers, credit derivatives, investor, valuation, regulation, single-manager hedge funds, IOSCO, International Organization of Securities Commissions, IOSCO Technical Committe Standing Committee on Investment Management, SC5 2003 Report, Federal Securities Laws, hedge fund managers, Code of Ethics, pooled investment vehicle, private equity, venture capital, real estate funds, sophisticated investors, institutional investors, due diligence, absolute return strategies, FTSE-250, S&P 500, investment advisers, registered investment companies, RICs, private fund, client, Look Through, investment company, assets under management, AUM, commodity pool operator, CPO, futures, options contracts, futures exchange, commodity trading advisor, CTA, National Futures Association, NFA, reporting requirements, Regulation D, accredited investors, registered public offerings, implications of the growth of hedge funds, fraudulent behavior, Senate Banking Subcommittee on Securities, Fair Value, net asset value, NAV, pricing, illiquid investments, derivatives, hard-to-v, side pocket, conflict of interest,
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