registered investment companies Archives - Managed Funds Association

MFA Submits Comments to FinCEN on Customer Due Diligence Proposals10.02.14

MFA submitted a letter to the Financial Crimes Enforcement Network (FinCEN) in response to its customer due diligence proposals for […]

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Topics: Financial Crimes Enfor Advanced Notice of Proposed Rulemaking, due diligence, RIN 1506-AB25, FINCEN-2014-0001, FinCEN, pooled investment vehicles, beneficial ownership requirement, registered investment companies, investment advisor, registered entities, commodity pool operators, commodity trading advisors, CTA, retail foreign exchange (FX), swap dealers, major swap participants, CFTC, Form ADV, Form PF, KYC,

Buy-Side Associations Submit to CFTC Follow-Up Request to Allow Netting of OTC Swaps in Certain Circumstances for Compliance with CPO De Minimis Trading Registration Exemption08.29.14

MFA, jointly with Investment Company Institute, Investment Adviser Association, Alternative Investment Management Association and the Asset Management Group of the […]

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Topics: CFTC Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, Investment Company Institute, ICI, Investment Adviser Association, IAA, SIFMA AMG, AIMA, Alternative Investment Management Association, registered investment companies, private fund, privately offered fund, uncleared swaps, swaps, net notional test, de minimis, commodity interests, Jennifer Wood, Cary Meer, K&L Gates LLP, netting,

MFA Files Petition for Rulemaking to Amend Certain CPO/CTA Recordkeeping Requirements07.21.14

MFA, jointly with the Investment Adviser Association and the Alternative Investment Management Association, submitted a petition to the Commission to […]

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Topics: IAA AIMA, Investment Adviser Association, Alternative Investment Management Association, CFTC, Commodity Futures Trading Commission, recordkeeping, adviser registration, recordkeeping requirements, commodity pool operator, CPO, commodity trading advisor, CTA, permissible entity, no-action relief, Petition for Rulemaking, investment management industry, pooled investment vehicles, separate account structure, investment adviser, commodity, burdensome, electronic recordkeeping regulations, Investment Company Institute, ICI, National Futures Association, NFA, SEC, Securities and Exchange Commission, examination, broker-dealer, futures commission merchant, FCM, introducing broker, forwards, forward transactions, Word Perfect, harmonize compliance obligations, registered investment companies, brokerage, custodian, Transfer Agent, harmonization, U.S. Department of Justice, third-party recordkeeper, compliance burden,

MFA Submits Comments in Response to SEC Proposed Amendments to Regulation D, Form D and Rule 15609.23.13

MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to Regulation D, Form D […]

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Topics: Securities and Exchange Commission SEC, Regulation D, Form D, market practices, JOBS Act, General Solicitation, private placements, capital formation, Investor Protection, transparency, private fund, private capital markets, hedge funds, issuers, due diligence, John Thune, registered investment companies, RICs, private fund managers, examination process, Office of Compliance Inspections and Examinations, OCIE, hedge fund industry, assets under management, AUM, Form ADV, state securities regulators, Form PF, proprietary information, Rulemaking, adviser registration, Norm Champ, Division of Investment Management, PLI Hedge Fund Management Conference, Advance Form D, cost-benefit analysis, compliance costs, registered investment adviser, hedge fund managers, compliance, public markets, Fund Sponsors, United States Congress, capital markets, Form 13F, Schedule 13D, censure, cease and desist, Verification Methods, accredited investor, general solicitation materials, legends, disclosure requirements, anti-fraud rules, performance, sophisticated investors, high net worth requirements, institutional investor, private fund offerings, retail investors, private placement memorandum, Ban on General Solicitation and Advertising, accredited investors, efficiency, competition, pitch book, marketing materials, beneficial owners, equity, natural persons, eligible purchasers, general partner, Federal Securities Laws, deemed compliant, Pacific Mutual Life Insurance Company, Variable Life, Franklin Group of Funds, investment company, statement of policy, mutual fund, interpretive guidance, commodities, derivatives, liquidity, qualified purchasers, qualified clients, Global Investment Performance Standards, investor qualification standards, knowledgeable employees, harmonization, Elizabeth Murphy, Commodity Futures Trading Commission, CFTC, pool participants, Ray Garrett, Colorado Bar Association,

MFA Submits Joint Comment Letter to CFTC on Netting of Uncleared Swaps for 4.5 and 4.13(a)(3)01.25.13

MFA jointly submitted with the Investment Company Institute, Investment Adviser Association and the Asset Manager’s Group of SIFMA a letter […]

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Topics: CFTC Commodity Futures Trading Commission, Investment Company Institute, ICI, Investment Adviser Association, IAA, SIFMA's Asset Management Group, mutual funds, closed-end fund, exchange-traded funds, ETF, unit investment trust, UIT, Securities and Exchange Commission, SEC, institutional investors, Pension Funds, Trust, investment company, private funds, endowments, foundations, Division of Swap Dealer and Intermediary Oversight, registered investment companies, RICs, net notional test, commodity interests, commodity pool operator, CPO, registration, adviser registration, net notional value, regulation, netting, futures contracts, options, Designated Contract Market, DCM, derivatives clearing organization, DCO, hedge funds, private equity funds, counterparties, de minimis, execution, straddle rules, Karrie McMillan, Sarah A. Bessin, Rachel H. Graham, Karen L. Barr, Tim Cameron, Amanda Olear, Michael W. Ehrstein,

Buy-Side Associations Submit Requests to CFTC on Foreign Exchange Swaps and Forwards09.28.12

MFA jointly with several other buy-side trade associations (the “Associations”), sent CFTC Chairman Gensler a letter requesting that the CFTC […]

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Topics: Gary Gensler FX forwards, FX swaps, swaps, Commodity Futures Trading Commission, CFTC, SIFMA's Asset Management Group, Investment Company Institute, ICI, Managed Funds Association, MFA, Investment Adviser Association, IAA, Department of the Treasury, compliance date, endowments, Pension Funds, institutional investors, ERISA, asset managers, foreign exchange, Dodd-Frank Act, commodity trading advisor, CTA, commodity pool operator, CPO, major swap participants, MSPs, registered investment companies, registration, market participants, portfolio risk, currency risk, Securities and Exchange Commission, SEC, Barney Frank, House Committee on Financial Services,

Buy-Side Associations Submit Requests to Treasury on Foreign Exchange Swaps and Forwards09.28.12

MFA jointly with several other buy-side trade associations (the “Associations”), sent Treasury Secretary Geithner a letter requesting that he make […]

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Topics: Timothy Geithner forwards, swaps, FX forwards, FX swaps, Department of the Treasury, SIFMA's Asset Management Group, Investment Company Institute, ICI, Managed Funds Association, MFA, Investment Adviser Association, IAA, foreign exchange, derivatives, commodity trading advisor, CTA, commodity pool, commodity pool operator, CPO, major swap participants, MSPs, registered investment companies, private funds, endowments, pension fund, ERISA, institutional investors, asset managers, Dodd-Frank Act, product definition rules, Commodity Futures Trading Commission, CFTC, Securities and Exchange Commission, SEC, compliance, asset management firms, registration, investment advisers, National Futures Association, NFA, swap positions, Associated Persons, principal, regulatory costs, United States Congress, safe harbor, market participants, Unwind, FX Products, hedge, currency risk, liquidity, Security-Based Swap Dealer, Major Security-Based Swap Participant, eligible contract participant, ECP, Barney Frank, House Committee on Financial Services,

MFA Submits Comments to CFTC Regarding the JOBS Act07.17.12

MFA submitted comments to the CFTC urging it to harmonize its regulations with the JOBS Act, which eliminates the prohibition […]

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Topics: harmonize compliance obligations harmonization, Commodity Futures Trading Commission, CFTC, registered investment companies, JOBS Act, General Solicitation, General Advertising, Ban on General Solicitation and Advertising, no-action relief, commodity pool operator, CPO, hedge funds, safe harbor, qualified purchaser, adviser registration, CPO registration requirements, commodity interest trading, Securities and Exchange Commission, SEC, accredited investor, bank, Federal Securities Laws, regulation, de minimis exemption, Obama Administration, privately-offered funds, securities, security-based swaps, investment adviser, collective trust fund,

MFA Submits Comments to SEC on FINRA Rule 512306.29.12

On Friday, June 29, MFA submitted comments to the SEC in response to its notice of the Financial Industry Regulatory […]

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Topics: Financial Industry Regulatory Authority FINRA, Securities and Exchange Commission, SEC, Private placement of securities, Issuer, purchaser, private fund, private placement memorandum, PPM, term sheet, offering document, adviser registration, capital formation, Federal Securities Laws, private fund managers, Subscription Agreement, redemption terms, registered investment companies, RICs, SEC Form N-1A, Form D, clearing, settling, self-regulatory organization, SRO, efficiency, fraudulent and manipulative acts and practices, unnecessary burden on capital formation, compensation arrangements, broker-dealer, market participants, investment company, hedge funds, sophisticated investors, institutional investors, due diligence, knowledgeable employees, Disclosure, proprietary information, confidentiality, NASD, qualified purchaser,

MFA Submits Comment Letter to CFTC on Harmonization Proposal on Compliance Obligations04.24.12

MFA submitted comments to the CFTC on its Harmonization Proposal on compliance obligations for the operators of registered investment companies […]

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Topics: CFTC Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, commodity pool operator, Regulation 4.5 Harmonization, harmonize compliance obligations, registered investment companies, RICs, CPO, privately-offered funds, investment advisers, Part 4 regulations, disclosure documents, prospectus delivery, financial reporting obligations, pool participant, disclosure of fees, certification language, funds, securities, prospective investor, exchange-traded funds, ETF, transparency, accessibility, privately-offered pools, public pools, foreign exchange, international disclosure standards, International Organization of Securities Commissions, IOSCO, Dodd-Frank Wall Street Reform and Consumer Protection Act, Dodd-Frank Act, commodity interests, swaps, U.S. investors, prospectus, SEC Form N-1A, SEC Form N-2, JOBS Act, Ban on General Solicitation and Advertising, mutual fund prospectus, filing deadline, audited financial statements, quarterly account statements, NFA, National Futures Association, fund of funds, Hard-to-Value Assets, illiquid assets, Third Party Service Providers, Investment Adviser Association, CTA, commodity trading advisor, commodity ETF, Form ADV, Karen L. Barr,

MFA Comment Letters

Topic: registered investment companies