SEC - Registered Investment Advisers – Annual Compliance Requirements

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As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), most private equity and hedge fund managers are required to register as investment advisers with the U.S. Securities and Exchange Commission (SEC). By becoming registered-investment advisers, these managers become subject to ongoing compliance obligations and examination by the SEC.

The following is a summary of certain key annual filing deadlines and other annual compliance requirements for SEC- registered investment advisers who manage private investment funds. This summary is merely a general roadmap and not intended to be a comprehensive review of all compliance and filing obligations for advisers or to address any registration thresholds, each of which should be discussed with counsel. Investment advisers registered with states should also consider state requirements, which are not necessarily coordinated with SEC 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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