Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds
February 10, 2020
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority and National Futures Association) impose reporting and compliance obligations on asset managers and investment funds. Some of these requirements apply only to U.S.-registered investment advisers, commodity pool operators or commodity trading advisors, but others apply to investment managers and funds that are located outside the United States and are not registered 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. However, it is not intended to provide a complete discussion of all reporting and compliance requirements that may be applicable to investment advisers and private funds.
The authors would like to thank Matthew Bodziak, Andrew Braid, Catherine Fauver, Philip Garber, Marylyn Harrell, Albert Jung, Vince Nguyen, Jennifer O’Brien, Brian Roe, Sam Scarritt-Selman, Christine Schleppegrell and Lindsay Trapp for their contributions to this OnPoint.
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