Reminder: Annual US Reporting and Compliance Obligations

February 09, 2009
The federal securities laws of the United States as well as the rules of 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. Some annual requirements apply only to investment managers registered in the US as investment advisers, while others apply to investment managers and funds that are located outside, and not registered in, the United States. This update provides a brief description of these requirements and serves as a reminder of the need to comply.