Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
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.