Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
January 31, 2017
The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds. Some of these requirements apply only to U.S.-registered investment advisers, but others apply to investment advisers and funds that are located outside the United States and are not registered as investment advisers in the United States. This Dechert OnPoint provides a brief description of some of these requirements and serves as a reminder of the need for compliance.
Please refer to a companion Dechert OnPoint, Countdown to March 1, 2017: Derivatives Trading Regulatory Compliance Checklist, which focuses on new upcoming deadlines for asset managers trading derivatives subject to U.S. regulation. Also, for information regarding current SEC examination priorities, please refer to Dechert OnPoint, SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment.
Note that if the filing date falls on a week-end or federal holiday, the filing is not due until the next business day.
Read "Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds."
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