Articles Tagged with SEC Enforcement Priorities

Published on: March 4, 2016

Registered Firms: Annual Compliance Obligations—What You Need To Know

By Ildiko Duckor, David E. Lillevand and Semma G. Arzapalo

Ildiko Duckor

David E. Lillevand

Semma G. Arzapalo

At the end of this month, the annual updating amendments for investment advisers’ Form ADV will be due. The following are some of the important annual compliance obligations investment advisers either registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Adviser”) and commodity pool operators (“CPOs”) or commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the “CFTC”) should be aware of.

This summary consists of the following segments: (i) List of Annual Compliance Deadlines; (ii) 2016 Enforcement Priorities In The Alternative Space; (iii) New Developments; and (iv) Continuing Compliance Areas.

See the deadlines below and in red