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Investment Adviser › BEA

Lowenstein Sandler LLP

2020 and Q1 2021 Developments And Annual Compliance Checklists

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Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more

Foley Hoag LLP

Important Dates and Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

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INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level, are required to review their compliance policies and...more

Akin Gump Strauss Hauer & Feld LLP

Compliance Reminder: BE-180 Survey of Cross-Border Financial Services Transactions

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U.S. persons who provided or received any financial services, such as investment advisory services, fund management or brokerage services, to or from non-U.S. persons during 2019 (“Reporters”) must file a Form BE-180 report...more

Dechert LLP

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

Dechert LLP on

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

Akin Gump Strauss Hauer & Feld LLP

Foreign Security Ownership Reporting on Form SHC and Changes to BEA Reporting

Akin Gump Strauss Hauer & Feld LLP on

TIC Form SHC - The Department of the Treasury is conducting its mandatory (every five years) survey of foreign securities ownership by U.S. residents as of December 31, 2016, on its Treasury International Capital System...more

Foley Hoag LLP

Bureau of Economic Analysis (BEA) Issues New Form BE-180 for U.S. Financial Services Providers Including Investment Advisers

Foley Hoag LLP on

Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers, should take note that the U.S. Bureau of Economic Analysis (the “BEA”) has...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 36

Katten Muchin Rosenman LLP on

BROKER-DEALER SEC - Extends Specified Temporary Relief Related to Security-Based Swaps - On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain...more

Dechert LLP

BEA’s BE-180 Benchmark Survey of Financial Services Providers: Implications for U.S. Asset Managers

Dechert LLP on

In the fall of 2015, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next Benchmark Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign...more

Pillsbury Winthrop Shaw Pittman LLP

Deadline Looming for BE-10 Filing

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- Mandatory reporting required by the Bureau of Economic Analysis on Form BE-10 – 2014 Benchmark Survey of U.S. Direct Investment Abroad - Investment managers, general partners, hedge funds and private equity funds are...more

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