Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) or with a state, as well as commodity pool operators and commodity trading advisors registered with the U.S. Commodity Futures Trading Commission, are subject to a number of important annual compliance obligations. To help keep track of these obligations the Investment Services group at Vedder Price has prepared a summary document that sets forth the primary obligations that SEC-registered advisers should be aware of. This summary should not be considered an exhaustive list of an SEC-registered adviser’s obligations, and obligations for state-registered advisers may vary from SEC obligations.
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