Dechert LLP is pleased to announce that the popular lunchtime workshops on U.S. regulatory topics return in 2016 with the first taking place on Tuesday, 12 January 2016.
These informal sessions offered to legal and compliance professionals will provide an overview of the applicable regulations for SEC-registered and unregistered advisers, practical tips for compliance and an opportunity to ask questions and participate in the discussion. We look forward to welcoming you through our doors in January. Details of the first session can be found below.
U.S. Regulatory Priorities for 2016
The U.S. federal securities laws impose a variety of reporting and compliance obligations that apply in certain circumstances to UK investment managers and the funds they manage. To assist UK investment managers in planning for 2016, Karen Anderberg and Laurel Neale will discuss recent SEC examination and enforcement priorities and the potential upcoming developments for 2016 which will be most likely to affect UK investment managers. They will also review certain upcoming reporting and compliance obligations that most typically apply to UK investment managers, including Form 13F, Schedules 13D/G, Form 13H, Form ADV, Form D (including "bad actor" certifications), Form PF, CFTC deadlines and others.
Related Professionals
