• U.S. Regulatory Action Items For Investment Advisers (2013)
  • January 28, 2013
  • Law Firm: Jones Day - Cleveland Office
  • Of course, a new year brings not only (the potential for keeping) New Year’s resolutions, but also a new set of obligations and undertakings for many investment advisers. We have outlined in Part I herein some of these obligations for exempt reporting advisers (i.e., those relying on the private fund exemption or the venture capital exemption) and, in Part II, some obligations for investment advisers that are registered with the U.S. Securities and Exchange Commission (the “SEC”). In Part III, we address certain requirements and undertakings that may be relevant for any investment adviser—whether registered, filing as an exempt reporting adviser, or neither.