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Lighthouse Canton wins two categories at Asian Private Banker Awards for Distinction 2021 | 2022-01-21 14:20:00

<p><span>The Commodity Futures Trading Commission today announced that the U.S. District Court for the Eastern District of Kentucky entered a consent order for permanent injunction, restitution, and disgorgement against&nbsp;William S. Evans III&nbsp;(d/b/a&nbsp;Turning Point Investments) of Harrodsburg, Kentucky, and Evans&rsquo; wife,&nbsp;Frances Evans. The court imposed almost $17 million in relief for defendant&rsquo;s wrongdoing, including his misappropriation of client money intended for futures trading.</span></p>

INVESTMENT ADVISERS Form ADV Annual Updating Amendment: Existing registered advisers must update and file an amended Form ADV within 90 days of their fiscal year-end (Forms 1A and 2A). The filing fee must be deposited into the adviser’s IARD account before the filing can be submitted. The due date for 2021 is IARD Fees: SEC-registered advisers and exempt reporting advisers are required to pay IARD fees before the submission of the Form ADV annual amendment (by March 31, 2021). State Filings: A registered investment adviser and an exempt reporting adviser may be required to make a state no...

Regulatory Deadlines for Investment Advisers Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO or CTA. This list is not intended to be exhaustive, but it should help compliance officers set up their calendars for 2021. January INVESTMENT ADVISERS Form 13H: Amendments to Form 13H are due promptly if there are any changes to information for Form 13H Filers. The SEC’s “Frequently Asked Questions Concerning Large Trader Reporting,” res...

A List Of The Top Ten (10) Agricultural Commodity ETFs (DBA, JJG, JJA, SGG, BAL, RJA) David Fry:  Our goal in this profile is to help investors wade through the many competing ETF offerings available. Using our long experience as an ETF publication, and nearly 40 years in the investment business, we can help select those ETFs that matter and may or may not be repetitive. The result is a more manageable list of issues from which to view and make selections. With inflation pressures waxing and waning many believe it’s important to have exposure to direct agricultural commodities. Why? Becau...