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

 
January 31, 2025

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 (indirectly) and the 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.


Contributors

The authors would like to thank Dale C. Beggs, Meagan Cox, Phillip Garber, Lindsay R. Grossman, Katherine Hurley, Michael A. James, Yanyu Mao, Michael McGrail, David E. Miller, Daniel T. Murdock, Jennifer O’Brien, Emily Parks, Louis Rosenbaum and Olivia R. Sedita for their contributions to this OnPoint.

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