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

Karen Anderberg, Julien Bourgeois, Elliott Curzon, Philip Hinkle, Andrew Oringer, Michael Sherman, David Vaughan, Audrey Wagner
Dechert LLP
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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...

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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