Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) or with a state, as well as commodity pool operators and commodity trading advisors registered with the U.S. Commodity Futures Trading Commission, are subject to a number of important annual compliance obligations. To help keep track of these obligations the Investment Services group at Vedder Price has prepared a summary document that sets forth the primary obligations that SEC-registered advisers should be aware of. This summary should not be considered an exhaustive list of an SEC-registered adviser’s obligations, and obligations for state-registered advisers may vary from SEC obligations. Clients should feel free to contact us for more information.

To read Vedder Price's 2020 Annual Compliance Obligation Reminders in its entirety, please click the link below.