Reminder: Annual US Reporting and Compliance Obligations

February 03, 2010
The US federal securities laws and the rules of self-regulatory organisations, such as the Financial Industry Regulatory Authority (FINRA), 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 United States as investment advisers, while others apply to investment managers and funds that are located outside, and not registered in, the United States. This update reviews these requirements and serves as a reminder of the need to comply.