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Martine Ventello

As seen in: Mondaq
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Articles by Martine Ventello

Q1 2024 Asset Management Regulatory Update

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By S. Lee Terry, Stephanie Danner, Martine Ventello
| Mondaq
On February 8, the Securities Exchange Commission (the "SEC" or the "Commission") and the Commodities Futures Trading Commission (the "CFTC") jointly adopted amendments to Form PF, used by certain investment advisers to private funds, including investment advisers that are registered with the CFTC as commodity pool operators ("CPOs") or commodity trading advisers, to report confidential information regarding the private funds they advise.
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Colorado Division Of Securities Adopts Amendments To Investment Adviser Rules

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By Peter Schwartz, Martine Ventello
| Mondaq
This is the third in a three-part series discussing the new and amended rules (collectively the "Rules") adopted by the Colorado Division of Securities ("Division") effective as of March 30, 2023 (the "Effective Date"). The series discusses the new and amended rules under the Colorado Securities Act (the "Colorado Act") applicable to certain Colorado investment advisers and their registered representatives ("IARs").
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Colorado Division Of Securities Adopts New Investment Adviser Compliance Program Rule

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By Peter Schwartz, Martine Ventello
| Mondaq
This is the second in a three-part series discussing the newly amended rules (collectively the "Rules") adopted by the Colorado Division of Securities ("Division") effective as of March 30, 2023 (the "Effective Date") applicable to certain Colorado investment advisers and their registered representatives ("IARs"). The Rules mostly affect investment advisers registered with Colorado State (such advisers, "Colorado Licensed Advisers").
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Colorado Division Of Securities Adopts New Investment Adviser Continuing Education Rule

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By Peter Schwartz, Martine Ventello
| Mondaq
The Colorado Division of Securities ("Division") has adopted new and amended rules (collectively the "Rules") applicable to certain Colorado investment advisers and their representatives, effective as of March 30, 2023 (the "Effective Date").
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