Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds - February 2021
By EsqSocial Corporation 18/02/21
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...
By: Dechert LLP