Reminder of Annual Requirements for Investment Managers


As we begin the new year, we thought it would be helpful to remind our clients that manage separate accounts or privately offered hedge funds and private equity funds of certain obligations that may be applicable to them under various U.S. federal and

state laws and regulations. Compliance with certain of these obligations is required within specific time periods after the

end of the calendar year or the Investment Manager’s fiscal year. Other obligations are required in an annual or periodic basis. Certain other obligations may be characterized as a best practice

to be undertaken on a periodic basis, as opposed to a strict legal requirement. The beginning of the new year may be a logical time to review and satisfy many of these obligations. What follows below is a summary of the primary annual or periodic compliance-related requirements or best practice obligations that may apply to many Investment Managers. This summary is not intended to provide a complete review of an Investment Manager’s obligations

relating to compliance with applicable tax, partnership, limited liability, trust, corporate or securities laws or rules, or non-U.S. or U.S. state law requirements.

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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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