This Sidley Update alerts investment advisers to certain regulatory and compliance obligations. These obligations include a number of significant calendar year 2021 reporting or filing deadlines, in particular those required under the Investment Advisers Act of 1940 for registered advisers and exempt reporting advisers, as well as under the Commodity Exchange Act for registered CPOs and CTAs. This Sidley Update also provides information regarding recent regulatory developments that may affect an investment adviser’s compliance program, a summary of recent examination and enforcement actions that reflect SEC concerns relevant to advisers and the SEC staff’s examination priorities for 2021.
Sidley Austin LLP provides this information as a service to clients and other friends for educational purposes only. It should not be construed or relied on as legal advice or to create a lawyer-client relationship. Readers should not act upon this information without seeking advice from professional advisers.
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