Each year, registered investment advisers and exempt reporting advisers are required to draft their annual updating amendment and file it within 90 days of their fiscal year end, which in most cases is March 31st.
Responses to all items must
The RIA Law Journal, published by Alcantara Law Firm, focuses on legal issues pertinent to registered investment advisers (RIAs) and financial professionals. It covers topics such as SEC compliance requirements, including examination support, disclosure drafting, and policy development. The blog also addresses regulatory developments affecting investment advisers, like changes in accredited investor definitions and SEC leadership impacts. Additionally, it discusses reputation defense strategies, particularly related to INTERPOL Red Notices and international data correction processes. Other subjects include state-specific compliance matters, such as notice filing fees, and immigration-related investment programs. The content is tailored to legal and compliance challenges faced by investment advisers operating in domestic and cross-border contexts.
Each year, registered investment advisers and exempt reporting advisers are required to draft their annual updating amendment and file it within 90 days of their fiscal year end, which in most cases is March 31st.
Responses to all items must…
[The information provided on this website does not, and is not intended to, constitute legal advice; instead, all information, content, and materials available on this site are for general informational purposes only. Information on this site may not constitute the…
On September 6th, the U.S. Securities and Exchange Commission issued a Risk Alert, providing investment advisers with information regarding the Division of Examination’s process by which they select advisers for examination. The Division also included an attachment that mirrors…
Investors seeking EB-5 status in the United States often turn to an attorney specializing in Immigration Law to draft the necessary petitions and disclosure documents. However, it is very important that the attorney also have an understanding of applicable securities…
Investors who wish to acquire permanent residence in the United States may seek such status by applying to the United States Citizenship and Immigration Services agency (“USCIS”) for a foreign investor visa. The U.S. Congress created this immigrant visa category…