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Filing Requirements Asset Management

K&L Gates LLP

And One More Thing: The NFA Adopts Rules Establishing CPO Notice Filing Requirements when a CPO is Unable to Fulfill its...

K&L Gates LLP on

Introduction - On 13 April 2021, the National Futures Association (NFA) released an Interpretive Notice entitled Compliance Rule 2-50: CPO Notice Filing Requirements (Interpretive Notice)....more

Dechert LLP

AML Update: New ICAV and Unit Trust Central Register of Beneficial Ownership Obligations in Ireland

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This OnPoint provides an overview of the long-awaited central register of beneficial ownership filing requirements for both ICAVs and Unit Trusts in Ireland together with an update on the specific issues related to...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds - February 2020

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The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more

Sullivan & Worcester

The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them

Sullivan & Worcester on

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The...more

Morgan Lewis

GPs Operating in Japan: Follow-Up Information Disclosures for Article 63 Filers Is Required

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GPs that operate limited partnerships based on the exemption under Article 63 of the FIEA and have recently completed a renewal filing around the end of the grace period (August 31, 2016) are required to prepare Form 20-2...more

Troutman Pepper

Trends for Early-Stage Investing in Emerging Managers

Troutman Pepper on

The current environment for early-stage investing with emerging managers reflects an increasing number and variety of early-stage investments firms, an increasing pool of talented emerging managers, and a growing number and...more

Dechert LLP

SEC’s Proposed Modernized Reporting Regime: Effects on ETF Sponsors

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The U.S. Securities and Exchange Commission (SEC) on May 20, 2015 unanimously approved proposed rules, forms and amendments that are intended to modernize and enhance the reporting and disclosure of information by investment...more

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