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We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The new module streamlines and automates the Form PF filing process and provides a repository for storing multiple filings with version control. Leveraging a flexible and intuitive workflow, users can ...

ConvergEx Group announced that Eze Castle Software has successfully executed its first Form PF filing to the US Securities and Exchange Commission (SEC). The filing was submitted via Eze’s Regulatory ...

KPMG LLP has allied with Axiom Software Laboratories to address new regulatory requirements facing investment advisors, including Form PF. In January, the Securities and Exchange Commission issued a ...

BNY Mellon, the global leader in investment management and investment services, has developed a reporting solution that enables its affected alternative investment clients to prepare and file Form PF, ...

Benjamin Schiffrin, Director of Securities Policy at Better Markets, a non-profit, non-partisan, and independent organization founded in the wake of the 2008 financial crisis to promote the public ...