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ARTICLE · 29 JANUARY 2013

U.S. Regulatory Action Items For Investment Advisers (2013)

Jones Day
Jones Day
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Jones Day

Jones Day

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A summary of the new set of obligations and undertakings for many investment advisers.

United StatesStrategy
Jones Day
Jones Day
Michele Gibbons
Michele Gibbons
Emily Harris
Emily Harris
Robert C Lee
Robert C Lee
Anthony Perricone
Anthony Perricone
Joel Telpner
Joel Telpner
Kent Richey
Kent Richey
John Saada, Jr.
John Saada, Jr.
Randall Schai
Randall Schai
+2 more
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Happy 2013 to clients and friends of Jones Day!  We wish you a happy, healthy, and prosperous new year. 

Of course, a new year brings not only (the potential for keeping) New Year's resolutions, but also a new set of obligations and undertakings for many investment advisers.  We have outlined in Part I herein some of these obligations for exempt reporting advisers (i.e., those relying on the private fund exemption or the venture capital exemption) and, in Part II, some obligations for investment advisers that are registered with the U.S. Securities and Exchange Commission (the "SEC").  In Part III, we address certain requirements and undertakings that may be relevant for any investment adviser -- whether registered, filing as an exempt reporting adviser, or neither. 

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