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The Investment Lawyer articles from September 2003
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The Investment Lawyer archives from September 2003
Living with the FTC Safeguard Rules: industry tips and experiences.(Federal Trade Commission)
September 1, 2003... The Federal Trade Commission's (FTC) rules on Safeguarding Customer Information (1) (the Safeguard Rules) have been in effect since May 23, 2003, and hedge funds have been wrestling with their requirements and implementation. This article...
Highlights of this issue.(From The Editor)
September 1, 2003... Recent federal regulatory action takes center stage in this issue of The Investment Lawyer. To begin, the lead article by Nigel Howard explores recent experiences of hedge funds in complying with the Federal Trade Commission's rules on...
CFTC adopts major relief from registration requirements for mutual funds, hedge funds, and investment advisers.(Commodity Futures Trading Commission )
September 1, 2003... At a time when participants in US securities markets face increasingly onerous regulatory burdens, the Commodity Futures Trading Commission (CFTC), on August 4, 2003, adopted rules that (1) expand the ability of registered investment...
SEC gives biotech companies relief.(Securities and Exchange Commission)
September 1, 2003... The Securities and Exchange Commission (SEC) has adopted Rule 3a-8 under the Investment Company Act of 1940, as amended (1940 Act), which provides a nonexclusive safe harbor from the definition of investment company for certain bona fide...
Customer identification programs for mutual funds.(Regulatory Monitor)(Brief Article)
September 1, 2003... On April 29, 2003, the SEC and the Department of Treasury adopted a final rule implementing Section 326 of the USA PATRIOT ACT to mutual funds. The rule requires mutual funds to implement a written Customer Identification Program (CIP) as...
Investment company exception in complying with charitable pooling representation.(Regulatory Monitor)
September 1, 2003... The SEC staff would not object under Section 7 of the Investment Company Act of 1940 if a nonprofit organization under Section 3(c)(10) of the 1940 Act allows participants in its asset management program (the managed program) to pledge their...
