Client Alerts

Annual Compliance and Review Requirements for Investment Advisers

December 28, 2009

The Investment Management Practice

Investment advisers are subject to certain annual updating and review obligations, many of which apply regardless of whether an adviser is registered with the Securities and Exchange Commission (SEC). This Alert summarizes certain of these regulatory and compliance requirements. Please contact us if you need our help to meet any of your filing deadlines or other obligations discussed below or would like more extensive advice with respect to your ongoing regulatory obligations.

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Practice Areas

Investment Management

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