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Vedder Thinking | Articles Annual Compliance Obligation Reminders


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Investment advisers registered with the SEC or with a state (advisers), as well as commodity pool operators (CPOs) and commodity trading advisors (CTAs) registered with the CFTC, are subject to important annual compliance obligations.

Click below to download the bulletin that addresses the following: 

  • Annual Compliance Deadlines for Advisers
  • Obligations for Private Fund Advisers
  • Obligations for CTAs
  • Obligations for CPOs
  • Tax and Treasury Filings


Joseph M. Mannon