Publications

Reminder: Annual US Reporting and Compliance Obligations
DechertOnPoint
March 15, 2012

US federal securities laws and self-regulatory organisations such as the US Financial Industry Regulatory Authority impose certain reporting and compliance obligations on investment managers and funds that must be complied with each year. In 2012, new requirements will apply as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Some of these changes only apply to investment managers registered in the United States as investment advisers, but others apply to funds or investment managers located outside the United States that are not registered as investment advisers in the United States. In this update, we provide a description of these reporting and compliance requirements.