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Certain U.S. Regulatory Action Items for Investment Advisers (2018)

Certain U.S. Regulatory Action Items for Investment Advisers (2018)

For investment advisers (registered, exempt reporting, and unregistered), there are myriad recurring obligations and undertakings to keep in mind. We have listed some of them below.

  • Part I—Describes requirements and practices that may be relevant for any investment adviser, whether registered, filing as an exempt reporting adviser, or unregistered.
  • Part II—Includes obligations for registered investment advisers.
  • Part III—Describes some of the obligations of exempt reporting advisers (i.e., those relying on the "private fund adviser exemption" or the "venture capital fund adviser exemption").
  • Part IV—Reviews certain tax considerations that may be relevant for any investment adviser.

Read the full White Paper.

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