Sidley Updates

2020 Update for Investment Advisers Important Annual Requirements;
2020 SEC Exam Priorities;
Recent SEC Enforcement Initiatives

March 6, 2020

This Sidley Update alerts investment advisers to certain regulatory and compliance obligations. These obligations include a number of significant 2020 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 enforcement proceedings that reflect SEC concerns relevant to advisers and the SEC staff’s examination priorities for 2020.

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