This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
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This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
The IAA commented on the SEC’s re-proposal of amendments to Form 13F that (i) additional identifying information in Form 13F is not needed, (ii) the SEC could provide managers with flexibility to choose an alternative identifier to a CUSIP and should study holistically issues raised by requiring the use of licensed security identifiers, and (iii) the SEC should not make technical amendments to the well-established rounding conventions or how a security’s value is reported.
December 17, 2021
Comments on SEC Form 13F Proposal
The IAA recommended a more modest increase to the Form 13F reporting threshold and called for limitations on proposed technical amendments.
September 29, 2020
Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds
Legal, Regulatory & Compliance
January 01, 2019
Schedule 13D, 13G and 13F Reporting for Investment Advisers
Outlines Articles and Memoranda
May 01, 2006
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