Annual Compliance Obligation Reminders

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. Although this summary sets forth the primary obligations of which your firm should be aware, it should not be considered an exhaustive list of your obligations under the broader federal securities laws, tax laws or applicable state, local or foreign laws. Furthermore, obligations for state-registered advisers may vary from those for SEC-registered advisers.

If you have questions about your annual compliance obligations, please contact a member of the Investment Services group or your Vedder Price attorney.

Annual Compliance Deadlines for Advisers

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Obligations for Private Fund Advisers

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Obligations for CTAs

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Obligations for CPOs

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Tax and Treasury Filings

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