Julien Bourgeois

Julien Bourgeois

Dechert LLP

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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....more

3/27/2015 - Brokers CFTC Compliance Equity Securities ERISA Filing Deadlines Filing Requirements Form 13F Form ADV Investment Adviser Investment Funds NFA Private Funds Reporting Requirements Schedule 13D Schedule 13G Securities Dealers

U.S. Treasury’s Benchmark TIC SHL Survey and Implications for Investment Managers

In August 2014, the U.S. Department of the Treasury (Treasury) and the Federal Reserve Bank of New York (FRBNY) will conduct a benchmark survey of foreign holdings of U.S. issuers’ securities on Treasury International Capital...more

7/1/2014 - Federal Reserve Foreign Investment Form SHL Investment Funds Investment Management Reporting Requirements Securities Treasury International Capital U.S. Treasury

TIC B Forms Are Amended to Explicitly Cover U.S. Investment Managers

In January 2014, U.S. investment managers may experience increased reporting obligations as a result of recent changes to the Treasury International Capital ("TIC”) reporting system effective for certain reports regarding...more

12/16/2013 - Compliance Fund Managers Investors Reporting Requirements TIC

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