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 important annual compliance obligations.

Vedder Price's Investment Services Group has prepared a summary that sets forth the primary obligations SEC-registered advisers should be aware of. This summary should not be considered an exhaustive list of an SEC-registered adviser’s obligations, and clients should feel free to contact us for more information.

Click here to download our annual compliance obligation reminder.